Harvey B. Erenberg
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.
Harvey Bernard Erenberg, who also goes by Harvey B Erenberg, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1973. Harvey had worked at 6 firms and has passed the Series 63, Series 3, Series 000 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2004 - June 27, 2012
FIRST NEW YORK SECURITIES L.L.C.
June 29, 2000 - March 18, 2004
FIRST NEW YORK SECURITIES L.L.C.
August 8, 1997 - July 11, 2000
BNP PARIBAS SECURITIES CORP.
August 8, 1994 - June 27, 1997
CITIGROUP GLOBAL MARKETS INC.
July 16, 1984 - August 11, 1994
MORGAN STANLEY & CO. LLC
January 4, 1974 - April 13, 1979
DAIWA CAPITAL MARKETS AMERICA INC.
October 20, 1973 - August 8, 1984
BECKER PARIBAS INCORPORATED
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
Series 000
Date: 10/20/1973
General Securities Principal ExaminationSeries 00
Date: 12/20/1973
General Securities Principal ExaminationCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
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.
