Eric M. Earnhardt
Professional summary
Eric Michael Earnhardt, who also goes by Eric Earnhardt, is a registered financial advisor currently at TRADITION SECURITIES AND DERIVATIVES LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1995. Eric has worked at 12 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 14, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Michael Earnhardt's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 2024 - Present
TRADITION SECURITIES AND DERIVATIVES LLC
Office #1: 32 Old Slip 28th Floor, New York, NY 10005April 27, 2016 - November 18, 2024
TFS DERIVATIVES LLC
September 13, 2010 - August 22, 2014
AVATAR CAPITAL GROUP LLC
January 5, 2010 - April 22, 2016
TFS DERIVATIVES LLC
October 19, 2009 - February 14, 2015
STANDARD CREDIT SECURITIES INC.
October 19, 2009 - July 9, 2024
TRADITION SECURITIES AND DERIVATIVES LLC
January 23, 2009 - December 31, 2009
EMERGING GROWTH EQUITIES, LTD.
December 8, 2008 - June 19, 2009
THOMASLLOYD CAPITAL LLC
August 1, 2003 - December 5, 2008
EGE ADVISORS, LTD.
July 18, 2003 - December 5, 2008
EMERGING GROWTH EQUITIES, LTD.
March 7, 2003 - May 8, 2003
RBC CAPITAL MARKETS, LLC
October 2, 2000 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
May 30, 2000 - September 29, 2000
BNJ CAPITAL SECURITIES CORP.
January 14, 1999 - May 22, 2000
DIRKS & COMPANY, INC.
June 6, 1995 - February 3, 1999
EARNHARDT 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
(9/18/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationBOX Exchange LLC
FINRA
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
TRADITION SECURITIES AND DERIVATIVES LLC
CRD#: 28269 / SEC#: , 8-43559
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | MEMBER | |
| BACCALA, RAYMOND CHARLES | PRESIDENT | 1000495 |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| GANGI, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2909843 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | 5187937 |
| MARTUSCELLO, MICHAEL HENRY II | CHIEF COMPLIANCE OFFICER - FIXED INCOME | 5359170 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER - EQUITIES/OPTIONS | 3154976 |
| RICCIARDI, JUDITH ANN | MANAGER, CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, FINOP, PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER | 1534635 |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 32 |
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.
