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EC

Eric A. Cenname

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CRD#: 2207772
EC

Professional summary

Eric Anthony Cenname was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eric is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Eric had worked at 10 firms, which includes YANKEE FINANCIAL GROUP INC., LH ROSS & COMPANY INC., COUCH & COMPANY INCORPORATED, ROYAL HUTTON SECURITIES CORP., GLOBAL EQUITIES GROUP INC, COMMONWEALTH ASSOCIATES, ALDEN CAPITAL MARKETS INC., STATE CAPITAL MARKETS CORPORATION, WILLIAM SCOTT & CO. L.L.C., WESTFIELD FINANCIAL CORPORATION.

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

October 24, 2001 - September 12, 2002

YANKEE FINANCIAL GROUP, INC.

BD
CRD#: 17966
MELVILLE, NY
Past

November 1, 2000 - September 10, 2001

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

February 8, 2000 - October 16, 2000

COUCH & COMPANY, INCORPORATED

BD
CRD#: 18433
NEW YORK, NY
Past

February 9, 1998 - January 27, 2000

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

September 24, 1997 - January 6, 1998

GLOBAL EQUITIES GROUP INC

BD
CRD#: 34039
NEW YORK, NY
Past

April 9, 1997 - October 6, 1997

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

February 26, 1997 - September 11, 1997

ALDEN CAPITAL MARKETS, INC.

BD
CRD#: 25314
NEW YORK, NY
Past

June 6, 1994 - November 10, 1995

STATE CAPITAL MARKETS CORPORATION

BD
CRD#: 13685
NEW YORK, NY
Past

February 24, 1994 - June 3, 1994

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

July 16, 1993 - September 23, 1993

WESTFIELD FINANCIAL CORPORATION

BD
CRD#: 8143
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: 9/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1993
General Securities Representative Examination

Current Firm

YF
YANKEE FINANCIAL GROUP, INC.
YANKEE FINANCIAL GROUP, INC.

CRD#: 17966 / SEC#: , 8-35997

BD
Terminated by SEC on 08/30/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 04/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KRESGE, RICHARD FRANCISCEO, PRESIDENT, MAJORITY SHAREHOLDER729077
BORGNER, RICHARD REISSVICE PRESIDENT, COMPLIANCE OFFICER1104666
CALISE, JAMES MARIO SROPTIONS PRINCIPAL38467

Disclosures

Regulatory Event4
Civil Event1
Arbitration1

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

YANKEE FINANCIAL GROUP, INC.

CRD#: 17966

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