Eric L. Sacks
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 Livingston Sacks was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1988. Eric had worked at 7 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2011 - April 13, 2012
OSCAR GRUSS & SON INCORPORATED
June 29, 1998 - October 2, 1998
UBS SECURITIES LLC
February 10, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 27, 1994 - June 5, 1995
DB ALEX. BROWN LLC
February 24, 1994 - May 3, 1994
MERRION SECURITIES, LLC
April 19, 1989 - April 11, 1990
CREDIT SUISSE SECURITIES (USA) LLC
September 2, 1988 - April 14, 1989
LATERMAN & COMPANY
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
OSCAR GRUSS & SON INCORPORATED
CRD#: 2091 / SEC#: , 8-22371
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 5 |
| Judgment/Lien | 13 |
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.
