Eric B. Oscher
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 Blair Oscher, who also goes by Eric Oscher, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 4 firms and has passed the Series 63, 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
September 22, 2008 - March 3, 2009
E. H. SMITH JACOBS & CO., INC.
December 19, 2007 - July 16, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
August 17, 2007 - November 27, 2007
VDM CAPITAL MARKETS, LLC
July 19, 1999 - March 5, 2007
VAN DER MOOLEN SPECIALISTS USA, LLC
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 55
Date: 1/16/2008
Limited Representative-Equity Trader ExamCurrent Firm
E. H. SMITH JACOBS & CO., INC.
CRD#: 3429 / SEC#: , 8-36808
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND C. FORBES FAMILY TRUST I | SHAREHOLDER | |
| RAYMOND C. FORBES REVOCABLE TRUST | SHAREHOLDER | |
| FORBES, MARIE-REGINA | PRESIDENT/FINOP/CCO/TREASURER | 2106108 |
| FORBES, PATRICIA MARY | VP/SROP/CROP/SECRETARY | 2241513 |
| FORBES, RAYMOND CLEMENT | TRUSTEE, FAMILY TRUST I AND RAYMOND C. FORBES REVOCABLE TRUST | 210968 |
| MCMULLIN, KIMBALL R. | TRUSTEE, FAMILY TRUST I | 5304349 |
Disclosures
| Regulatory Event | 6 |
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.
