Eric W. Spichiger
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 William Spichiger was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1987. Eric had worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 82TO, Series 79TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 53, Series 14, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2022 - May 6, 2025
CICADA SECURITIES
October 1, 2013 - June 2, 2025
BCP SECURITIES, INC.
November 30, 2009 - October 3, 2013
R.W.PRESSPRICH & CO.
August 3, 2009 - January 20, 2010
MANORHAVEN CAPITAL LLC
June 18, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
February 5, 1998 - May 28, 2008
UBS SECURITIES LLC
May 14, 1997 - December 15, 1997
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
March 9, 1995 - May 20, 1997
NATWEST SECURITIES CORPORATION
September 19, 1991 - March 9, 1995
SALOMON BROTHERS INC.
December 17, 1990 - April 16, 1991
LEHMAN BROTHERS INC.
March 28, 1989 - November 19, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1987 - February 8, 1989
JSC SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 6/17/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 10/30/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CICADA SECURITIES
CRD#: 314109 / SEC#: , 8-70699
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CICADA TECHNOLOGIES, INC. | DIRECT OWNER | |
| BALLESTEROS, MANUEL IGNACIO | DIRECTOR | 4712151 |
| GARCIA, EDWIN ERNESTO | FINANCIAL & OPERATIONAL PRINCIPAL | 4154949 |
| HERNANDEZ RIVERO, JAVIER | CEO | 6828444 |
| MORAN, BRIAN MICHAEL | CHIEF OPERATIONS OFFICER,CCO&AMLCO | 1940341 |
| TOVAR FERNANDEZ, IGNACIO | CHIEF TECHNOLOGY OFFICER | 7361056 |
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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