Erik J. Maschler
Professional summary
Erik Jason Maschler was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erik is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Erik had worked at 5 firms, which includes ICLEARING LLC, HEARTLAND SECURITIES CORP., ICAPITAL MARKETS LLC, INET ATS INC., SOUTH RICHMOND SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 1998 - April 16, 1998
ICLEARING LLC
December 23, 1997 - January 14, 2003
HEARTLAND SECURITIES CORP.
April 11, 1994 - April 21, 1998
ICAPITAL MARKETS LLC
February 4, 1993 - April 30, 1997
INET ATS, INC.
June 20, 1991 - June 18, 1992
SOUTH RICHMOND SECURITIES, INC.
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 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 6/14/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
ICLEARING LLC
CRD#: 43200 / SEC#: , 8-50180
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT COMPANY | |
| GERBER, WILLIAM | TREASURER | 1769810 |
| HALVORSON, KURT DAVID | MANAGER | 1764312 |
| LANGNER, CAROLINE FRANCES | COMPLIANCE OFFICER | 3073124 |
| MACDONALD, JOHN RANALD | MANAGER, FINOP | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | SVP, SECRETARY | 2446207 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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