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EW

Ethan H. Weitz

Some features on this profile are disabled
CRD#: 1913903
EW

Professional summary

Ethan Heston Weitz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ethan is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Ethan had worked at 4 firms, which includes CIBC WORLD MARKETS CORP., GRUNTAL & CO. L.L.C., INTERFIRST CAPITAL CORPORATION, SUTRO & CO. INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 16, 1994 - December 16, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

October 19, 1992 - October 25, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 1, 1989 - October 20, 1992

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA
Past

September 8, 1989 - November 27, 1989

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA
Past

January 24, 1989 - July 21, 1989

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination

Current Firm

CW
CIBC WORLD MARKETS CORP.
CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.

CRD#: 630 / SEC#: , 8-18333

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Mailing Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Phone number
(212) 856-4000
Established
Delaware since 07/31/1969
Firm type
Corporation
Fiscal year end
October
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CIBC INC.100% SHAREHOLDER
CONSOLA, PATRICK DCHIEF COMPLIANCE OFFICER1133831
DUBCZAK, ROMAN STEPANDIRECTOR5511542
GRIFFITH, MARVIN SCOTTPRINCIPAL FINANCIAL OFFICER1670889
PERRY, ACHILLES MGENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR4183476
PRICE, ERIC SCHIEF EXECUTIVE OFFICER & PRESIDENT1985843
TRABOULSI, ALFREDMANAGING DIRECTOR, HEAD US INVESTMENT BANKING6594715
ZELLERMAYER, MICHAELPRINCIPAL OPERATIONS OFFICER1662785

Disclosures

Regulatory Event76
Arbitration86

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CIBC WORLD MARKETS CORP.

CRD#: 630

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