Ersel L. Carter
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.
Ersel Lee Carter, who also goes by E Lee Carter, Lee Carter, was a registered financial professional .
Ersel is a previously registered financial professional and started their career in finance in 1987. Ersel had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
September 25, 2012 - January 30, 2017
TRADINGBLOCK
December 6, 2007 - September 10, 2012
BROKERSXPRESS LLC
December 6, 2007 - September 10, 2012
BROKERSXPRESS LLC
June 26, 2007 - December 13, 2007
SAXONY SECURITIES, INC.
September 29, 2001 - June 27, 2007
LASALLE ST SECURITIES, L.L.C.
April 14, 2000 - October 1, 2001
EISNER SECURITIES, INC.
January 12, 2000 - April 13, 2000
REALTA EQUITIES, INC.
October 20, 1993 - December 31, 1999
REALTA EQUITIES, INC.
April 5, 1991 - October 13, 1993
THOMAS M. NIXON & ASSOCIATES, INC.
October 24, 1988 - July 6, 1990
MORGAN STANLEY DW INC.
July 23, 1987 - October 31, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
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
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
