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EC

Eric D. Coburn

KROLL SECURITIES LLC
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 1993955
EC

Professional summary

Eric Dean Coburn is a registered financial professional currently at KROLL SECURITIES LLC located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1989. Eric has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view Eric Dean Coburn's CRS (Customer Relationship Summary).

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

Current

April 5, 2016 - Present

KROLL SECURITIES LLC

Office #1: One World Trade 285 Fulton Street 31st Floor, New York, NY, 10007
BD
CRD#: 36927
NEW YORK, NY
Past

August 30, 2012 - March 29, 2016

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEW YORK, NY
Past

June 1, 2007 - March 13, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
NEW YORK, NY
Past

October 10, 2001 - June 13, 2007

SHATTUCK HAMMOND PARTNERS LLC

BD
CRD#: 113645
NEW YORK, NY
Past

May 21, 1998 - October 30, 2001

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
CHICAGO, IL
Past

August 12, 1993 - May 21, 1998

SHATTUCK HAMMOND PARTNERS INC.

BD
CRD#: 32241
NEW YORK, NY
Past

August 17, 1992 - May 11, 1993

CAIN BROTHERS & COMPANY, LLC

BD
CRD#: 13649
NEW YORK, NY
Past

April 30, 1991 - July 13, 1992

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

October 25, 1989 - April 30, 1991

MABON, NUGENT & CO.

BD
CRD#: 2617

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/11/2016)
RR
Colorado
(2/19/2020)
RR
Florida
(3/7/2017)
RR
Georgia
(2/4/2019)
RR
Illinois
(3/10/2020)
RR
Maryland
(7/28/2016)
RR
Massachusetts
(11/1/2016)
RR
New Jersey
(8/4/2016)
RR
New York
(4/5/2016)
RR
North Carolina
(8/8/2018)
RR
Oregon
(2/26/2019)
RR
Texas
(7/28/2016)
RR
Virginia
(2/7/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/13/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/25/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KROLL SECURITIES LLC
DUFF & PHELPS SECURITIES CO. | PAGEMILL PARTNERS | KROLL SECURITIES LLC | KROLL INVESTMENT BANKING | KROLL CORPORATE FINANCE | GROWTH CAPITAL PARTNERS | DUFF & PHELPS SECURITIES LLC

CRD#: 36927 / SEC#: , 8-47558

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

Main Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Mailing Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Phone number
(312) 697-4600
Established
Delaware since 06/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KROLL, LLCOWNER
ATTANASIO, ELIZABETH MARIEPRINCIPAL FINANCIAL OFFICER5325007
ATTANASIO, ELIZABETH MARIEFINOP5325007
ATTANASIO, ELIZABETH MARIEPRINCIPAL OPERATIONS OFFICER5325007
BARTELL, ROBERT ANTHONYVICE CHAIRMAN4998599
BENN, JOSHUA KOGANMANAGING DIRECTOR3166674
BLOWERS, DAVID CHARLES JR.CEO5960307
BURT, STEPHEN MPRESIDENT2679117
CAPITMAN, ANDREW WILLIAMMANAGING DIRECTOR2321386
JANCOVIC, GIZELLE MARIECHIEF COMPLIANCE OFFICER5654006
LU, DAVID HAI GEMANAGING DIRECTOR3069820
MOON, STEVEN JAE-HOMANAGING DIRECTOR4860246

Disclosures

Regulatory Event1

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.

Company Information

KROLL SECURITIES LLC

CRD#: 36927New York, NY 10007

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