EP
Erik R. Piehl
TRADESTATION SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2292908
EP
Professional summary
Erik Ross Piehl, who also goes by Erik R Piehl, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.
Erik is registered as a RR (Registered Representative) and started their career in finance in 1992. Erik has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erik R Piehl
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.
CRS (Client Relationship Summary) - BD
Click below to view Erik Ross Piehl's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 30, 2018 - Present
TRADESTATION SECURITIES, INC.
Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606BD
CRD#: 39473
Chicago, IL
Past
September 28, 1993 - October 20, 1993
COORDINATED CAPITAL SECURITIES, INC.
BD
CRD#: 14762
Past
November 3, 1992 - September 27, 1993
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/22/2018)
RR
Alaska(6/22/2018)
RR
Arizona(6/22/2018)
RR
Arkansas(6/22/2018)
RR
California(6/22/2018)
RR
Colorado(6/11/2018)
RR
Connecticut(6/14/2018)
RR
Delaware(6/22/2018)
RR
District of Columbia(6/11/2018)
RR
Florida(6/11/2018)
RR
Georgia(6/22/2018)
RR
Hawaii(6/22/2018)
RR
Idaho(6/11/2018)
RR
Illinois(6/12/2018)
RR
Indiana(6/22/2018)
RR
Iowa(6/22/2018)
RR
Kansas(6/22/2018)
RR
Kentucky(6/22/2018)
RR
Louisiana(6/11/2018)
RR
Maine(6/12/2018)
RR
Maryland(6/11/2018)
RR
Massachusetts(6/22/2018)
RR
Michigan(6/22/2018)
RR
Minnesota(6/22/2018)
RR
Mississippi(6/22/2018)
RR
Missouri(6/22/2018)
RR
Montana(6/22/2018)
RR
Nebraska(6/22/2018)
RR
Nevada(6/22/2018)
RR
New Hampshire(6/22/2018)
RR
New Jersey(6/22/2018)
RR
New Mexico(6/22/2018)
RR
New York(6/22/2018)
RR
North Carolina(6/23/2018)
RR
North Dakota(6/22/2018)
RR
Ohio(6/11/2018)
RR
Oklahoma(6/22/2018)
RR
Oregon(6/22/2018)
RR
Pennsylvania(6/22/2018)
RR
Puerto Rico(6/24/2022)
RR
Rhode Island(6/22/2018)
RR
South Carolina(6/22/2018)
RR
South Dakota(6/22/2018)
RR
Tennessee(6/22/2018)
RR
Texas(6/22/2018)
RR
Utah(6/22/2018)
RR
Vermont(6/22/2018)
RR
Virginia(6/22/2018)
RR
Washington(6/22/2018)
RR
West Virginia(6/22/2018)
RR
Wisconsin(6/22/2018)
RR
Wyoming(6/22/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.
CRD#: 39473 / SEC#: , 8-48711
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
