Erik S. Blum
Professional summary
Erik Seth Blum was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erik is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Erik had worked at 19 firms, which includes STONEX SECURITIES INC., JESUP & LAMONT SECURITIES CORP, AURA FINANCIAL SERVICES INC., ADVANCED PLANNING SECURITIES INC., NATIONS FINANCIAL GROUP INC., ARCHER ALEXANDER SECURITIES CORPORATION, BROOKSTREET SECURITIES CORPORATION, HAPOALIM SECURITIES USA INC., EASTBROOK CAPITAL GROUP LLC, ROAN CAPITAL PARTNERS L.P., PRIME CHARTER LTD., D. BLECH & COMPANY INCORPORATED, TUCKER ANTHONY INCORPORATED, RODMAN & RENSHAW INC., BLUESTONE CAPITAL CORP., GRUNTAL & CO. L.L.C., LEHMAN BROTHERS INC., DREXEL BURNHAM LAMBERT INCORPORATED, J. T. MORAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2010 - December 1, 2011
STONEX SECURITIES INC.
August 10, 2009 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
August 5, 2006 - August 14, 2009
AURA FINANCIAL SERVICES, INC.
May 9, 2005 - August 2, 2006
ADVANCED PLANNING SECURITIES, INC.
December 20, 2003 - May 9, 2005
NATIONS FINANCIAL GROUP, INC.
December 13, 2002 - December 18, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
May 31, 2002 - December 12, 2002
BROOKSTREET SECURITIES CORPORATION
May 16, 2002 - June 4, 2002
HAPOALIM SECURITIES USA, INC.
July 15, 1997 - October 19, 2001
EASTBROOK CAPITAL GROUP LLC
November 7, 1995 - July 8, 1997
ROAN CAPITAL PARTNERS L.P.
September 27, 1994 - November 15, 1995
PRIME CHARTER LTD.
October 26, 1993 - October 14, 1994
D. BLECH & COMPANY, INCORPORATED
May 29, 1991 - October 22, 1993
TUCKER ANTHONY INCORPORATED
June 11, 1990 - June 6, 1991
RODMAN & RENSHAW INC.
May 11, 1990 - May 23, 1990
BLUESTONE CAPITAL CORP.
November 27, 1989 - May 10, 1990
GRUNTAL & CO., L.L.C.
April 4, 1989 - December 20, 1989
LEHMAN BROTHERS INC.
May 17, 1988 - April 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 26, 1988 - April 7, 1988
J. T. MORAN & CO., INC.
September 22, 1987 - December 20, 1989
LEHMAN BROTHERS 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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