Eric L. Bloom
Professional summary
Eric Lawrence Bloom was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Eric had worked at 10 firms, which includes SIERRA EQUITY GROUP LLC, BROOKSHIRE SECURITIES CORPORATION, SCHONFELD SECURITIES LLC, WINDSOR STREET CAPITAL LP, LASALLE ST SECURITIES L.L.C., SAPERSTON FINANCIAL INC., RICKEL & ASSOCIATES INC., JOSEPHTHAL & CO. INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, D. BLECH & COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2005 - December 30, 2010
SIERRA EQUITY GROUP LLC
August 29, 2002 - February 14, 2006
BROOKSHIRE SECURITIES CORPORATION
November 15, 2000 - May 16, 2002
SCHONFELD SECURITIES, LLC
May 14, 1998 - November 13, 2000
WINDSOR STREET CAPITAL, LP
October 2, 1997 - May 8, 1998
LASALLE ST SECURITIES, L.L.C.
July 11, 1997 - October 16, 1997
SAPERSTON FINANCIAL INC.
August 26, 1996 - August 9, 1997
RICKEL & ASSOCIATES, INC.
November 1, 1994 - August 30, 1996
JOSEPHTHAL & CO., INC.
July 15, 1994 - November 2, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 23, 1993 - July 22, 1994
D. BLECH & COMPANY, INCORPORATED
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 55
Date: 12/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
SIERRA EQUITY GROUP LLC
CRD#: 36518 / SEC#: , 8-47318
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOM, ERIC LAWRENCE | PRESIDENT, GENERAL PRINCIPAL, CHIEF COMPLIANCE OFFICER | 1742255 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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