Eric J. Lempe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Joel Lempe was a registered financial advisor .
Eric is a previously registered financial advisor and started their career in finance in 1986. Eric had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2010 - May 4, 2011
NEWPORT COAST SECURITIES, INC.
June 9, 2010 - May 4, 2011
NEWPORT COAST SECURITIES, INC.
November 5, 2007 - February 10, 2010
TORREY PINES SECURITIES, INC.
October 8, 2007 - February 10, 2010
TORREY PINES SECURITIES, INC.
February 23, 2007 - June 28, 2007
BROOKSTREET SECURITIES CORPORATION
February 12, 2007 - June 28, 2007
BROOKSTREET SECURITIES CORPORATION
July 8, 1997 - March 23, 2005
FORTA FINANCIAL GROUP, INC.
December 18, 1991 - March 23, 2005
FORTA FINANCIAL GROUP, INC.
August 16, 1990 - March 30, 1992
DEL MAR SECURITIES, INC.
July 27, 1990 - August 21, 1990
TOLUCA PACIFIC SECURITIES CORP.
April 30, 1990 - August 7, 1990
CORPORATE BENEFIT SECURITIES, INC.
November 29, 1989 - May 10, 1990
UBS FINANCIAL SERVICES INC.
May 6, 1986 - January 31, 1990
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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