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ES

Eric A. Sandler

Some features on this profile are disabled
CRD#: 2208133
ES

Professional summary

Eric Adam Sandler 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 1992. Prior to being barred, Eric had worked at 17 firms, which includes ESPOSITO SECURITIES LLC, VIEWTRADE SECURITIES INC., CAPITAL GROWTH FINANCIAL LLC, URCHIN CAPITAL PARTNERS LLC, STG SECURE TRADING GROUP INC., OPUS TRADING FUND LLC, BLOCK ORDERS EXECUTION LLC, STERLING FINANCIAL INVESTMENT GROUP INC., SCHONFELD SECURITIES LLC, NEW ENGLAND SECURITIES, SIGNATOR INVESTORS INC., CARLIN EQUITIES LLC, UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, PRUCO SECURITIES LLC., GRUNTAL & CO. L.L.C., JOSEPHTHAL & CO. INC..

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

June 10, 2008 - July 16, 2008

ESPOSITO SECURITIES, LLC

BD
CRD#: 143710
DALLAS, TX
Past

February 25, 2008 - April 14, 2008

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
BOCA RATON, FL
Past

September 19, 2007 - February 12, 2008

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
BOCA RATON, FL
Past

April 25, 2007 - July 11, 2007

URCHIN CAPITAL PARTNERS, LLC

BD
CRD#: 45691
NEW YORK, NY
Past

January 17, 2007 - April 30, 2007

STG SECURE TRADING GROUP, INC.

BD
CRD#: 41216
BOCA RATON, FL
Past

September 15, 2006 - January 18, 2007

OPUS TRADING FUND LLC

BD
CRD#: 125204
JERICHO, NY
Past

January 23, 2006 - September 15, 2006

BLOCK ORDERS EXECUTION, LLC

BD
CRD#: 134932
BOCA RATON, FL
Past

January 1, 2004 - January 17, 2006

STG SECURE TRADING GROUP, INC.

BD
CRD#: 41216
BOCA RATON, FL
Past

July 15, 2002 - December 19, 2003

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

July 21, 2000 - July 16, 2002

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

April 10, 2000 - July 14, 2000

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

July 9, 1999 - March 22, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

August 19, 1998 - June 11, 1999

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

January 28, 1995 - December 4, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 11, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

March 19, 1993 - September 22, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

October 11, 1992 - November 17, 1992

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

August 12, 1992 - October 15, 1992

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
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: 8/14/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/28/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/10/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/3/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/20/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/16/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

ES
ESPOSITO SECURITIES, LLC
ESPOSITO SECURITIES, LLC

CRD#: 143710 / SEC#: , 8-67596

BD
Terminated by SEC on 06/29/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 12/15/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ESPOSITO FINANCIAL, LLCMEMBER
ESPOSITO, MARK ALLENPRESIDENT, CEO, MSRB PRINCIPAL & CHIEF COMPLIANCE OFFICER2333495
TOWNSEND, JAMES DOUGLASFINOP/CFO/COO2029225

Disclosures

Regulatory Event2

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

ESPOSITO SECURITIES, LLC

CRD#: 143710

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