Eric R. Gudrais
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 Richard Gudrais was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1972. Eric had worked at 10 firms and has passed the Series 63, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2002 - November 5, 2002
EMERGENT FINANCIAL GROUP, INC.
June 22, 2000 - December 13, 2000
EMERGENT FINANCIAL GROUP, INC.
August 3, 1995 - August 24, 1998
GLOBAL FINANCIAL GROUP, INC.
January 10, 1991 - July 19, 1995
MILLER JOHNSON STEICHEN KINNARD, INC.
April 23, 1990 - December 4, 1990
JOHN G. KINNARD AND COMPANY, INCORPORATED
October 10, 1985 - March 3, 1990
CRAIG-HALLUM, INC.
April 5, 1982 - September 6, 1985
PAGEL INC.
June 1, 1978 - August 20, 1986
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
September 18, 1975 - October 8, 1978
ENGLER-BUDD & COMPANY INC.
May 24, 1973 - October 19, 1975
MIDWEST DISCOUNT SECURITIES, INC.
September 19, 1972 - May 27, 1973
VARIABLE INVESTMENT CORPORATION
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 1
Date: 9/14/1972
Registered Representative ExaminationSeries 40
Date: 10/19/1978
Registered Principal ExaminationCurrent Firm
EMERGENT FINANCIAL GROUP, INC.
CRD#: 37891 / SEC#: , 8-47997
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VTMW CAPITAL MANAGEMENT, LTD. | 100% DIRECT OWNER | |
| GOETSCH, MICHAEL RAY | PRESIDENT | 1807841 |
| JENKINS, CYNTHIA MADELYN | FINANCIAL AND OPERATIONS PRINCIPAL | 706510 |
| MCKELVEY, ROBERT KEVIN | CHIEF INVESTMENT OFFICER, CHAIRMAN OF THE BOARD, CHIEF COMPLIANCE OFFICER | 328695 |
| VOLDNESS, PETER BRIAN | CHIEF EXECUTIVE OFFICER | 872727 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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