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ER

Eric E. Rothmann

Some features on this profile are disabled
CRD#: 2000564
ER

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 Eugene Rothmann was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1993. Eric had worked at 9 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.

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

June 13, 2012 - January 3, 2014

CHEEVERS & COMPANY, LLC

BD
CRD#: 31312
CHICAGO, IL
Past

April 17, 2007 - February 2, 2009

LBMZ SECURITIES, INC.

BD
CRD#: 7874
CHICAGO, IL
Past

November 1, 2005 - June 9, 2006

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

March 23, 2005 - March 14, 2006

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
NEW YORK, NY
Past

June 20, 2003 - March 16, 2005

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL
Past

April 16, 2002 - December 20, 2002

THE WILLIAMS CAPITAL GROUP, L.P.

BD
CRD#: 35149
NEW YORK, NY
Past

October 25, 1999 - January 23, 2001

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

July 7, 1997 - May 11, 1999

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

September 3, 1993 - June 24, 1997

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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: 12/7/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 8/16/2012
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 3/29/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 9/2/1993
General Securities Representative Examination

Current Firm

C&
CHEEVERS & COMPANY, LLC
CHEEVERS & CO | CHEEVERS AND COMPANY, INCORPORATED | CHEEVERS & COMPANY, LLC | CHEEVERS & COMPANY INC. | CHEEVERS & CO., INC.

CRD#: 31312 / SEC#: , 8-29716

BD
Terminated by SEC on 07/21/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 12/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PENSERRA FINANCIAL VENTURES, LLCOWNER
MADRIGAL, GEORGECHIEF EXECUTIVE OFFICER3204950
PETERSON, RYAN L.CCO5640224
SCHMILINSKY, GEORGE AL JRFINOP2544599

Disclosures

Regulatory Event5

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

CHEEVERS & COMPANY, LLC

CRD#: 31312

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