Stephen J. Ehrlich
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.
Stephen Jay Ehrlich, who also goes by Steve Ehrlich, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 8, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2016 - August 21, 2017
PINNACLE CAPITAL MARKETS, LLC
December 2, 2015 - August 18, 2016
COINBASE SECURITIES, INC.
November 21, 2014 - November 14, 2023
VYGR DIGITAL SECURITIES, LLC
October 28, 2014 - June 11, 2015
PINNACLE CAPITAL MARKETS, LLC
May 8, 2014 - September 2, 2014
PENNALUNA & COMPANY
July 31, 2013 - January 17, 2014
BENDIGO SECURITIES, LLC
September 24, 2007 - May 21, 2013
LIGHTSPEED TRADING, LLC
December 13, 2005 - July 28, 2008
LIGHTSPEED PROFESSIONAL TRADING LLC
July 3, 2002 - May 19, 2005
LIGHTSPEED PROFESSIONAL TRADING LLC
February 8, 2001 - October 20, 2003
E*TRADE SECURITIES LLC
May 14, 1998 - April 4, 2002
E*TRADE MARQUETTE SECURITIES, INC.
September 26, 1997 - October 17, 2001
E*TRADE INVESTOR SELECT, INC.
March 15, 1994 - December 31, 2005
E*TRADE CLEARING 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 9/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PINNACLE CAPITAL MARKETS, LLC
CRD#: 119606 / SEC#: , 8-65208
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HONOS FINANCIAL LLC | OWNER | |
| PACIOREK, MICHAEL ALLEN | PRESIDENT & SROP & FINOP& CCO | 2090629 |
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.
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