Eric J. Urbani
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 John Urbani, who also goes by Eric J Urbani, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 2 firms and has passed the Series 63, Series 17 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2011 - March 8, 2013
PACIFIC CENTURY SECURITIES, LLC
June 14, 1994 - June 21, 1994
J.S. FRELINGHUYSEN & CO. 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 17
Date: 12/16/2011
Limited Registered Representative ExaminationCurrent Firm
PACIFIC CENTURY SECURITIES, LLC
CRD#: 131607 / SEC#: , 8-66487
Contact information
FINRA licenses (14 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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