Eric S. Levine
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 Stochek Levine was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1993. Eric had worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2021 - June 30, 2023
CAPE SECURITIES INC.
October 22, 2019 - December 31, 2020
ALLSTATE FINANCIAL SERVICES, LLC
October 9, 2017 - May 21, 2018
INTERNATIONAL ASSETS ADVISORY, LLC
July 14, 2017 - October 17, 2017
EMERSON EQUITY LLC
March 16, 2017 - July 20, 2017
DEMOCRACY FUNDING LLC
July 19, 2016 - January 3, 2017
EMERSON EQUITY LLC
October 6, 2015 - July 7, 2016
CAPE SECURITIES INC.
October 19, 2012 - September 2, 2015
REALTY CAPITAL SECURITIES, LLC
November 3, 2000 - August 23, 2011
INVESTACORP ADVISORY SERVICES INC
September 23, 1998 - August 23, 2011
INVESTACORP, INC.
March 30, 1995 - November 14, 1996
CITIGROUP GLOBAL MARKETS INC.
March 14, 1994 - April 3, 1995
JWGENESIS SECURITIES, INC.
August 19, 1993 - December 6, 1993
BILTMORE SECURITIES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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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