Eric M. Freiberg
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 Mark Freiberg, who also goes by Eric M Frieberg, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 15 firms and has passed the Series 63, SIE, Series 19, Series 25, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2019 - January 27, 2020
LPS CAPITAL LLC
May 9, 2018 - December 7, 2018
THE ULTIMA GLOBAL MARKETS (USA), INC.
April 18, 2016 - May 8, 2018
ROSENBLATT SECURITIES INC.
June 17, 2008 - April 19, 2016
QUATTRO M SECURITIES INC.
January 24, 2007 - June 30, 2010
ABN AMRO CLEARING USA LLC
August 1, 2005 - June 27, 2008
HALCYON CABOT PARTNERS, LTD.
January 3, 2005 - August 9, 2005
TD PRIME SERVICES LLC
August 11, 2004 - September 23, 2004
TD PRIME SERVICES LLC
September 29, 2003 - January 3, 2005
LEK SECURITIES CORPORATION
July 17, 2003 - October 1, 2003
LABRANCHE FINANCIAL SERVICES, LLC
May 19, 2003 - July 29, 2005
LL PARTNERS, INC.
March 20, 2000 - September 6, 2001
RAMIUS SECURITIES LLC
June 30, 1998 - November 3, 1999
DALTON KENT SECURITIES GROUP, INC.
September 24, 1996 - June 16, 1998
BARINGTON CAPITAL GROUP, L.P.
July 21, 1995 - September 27, 1996
KENSINGTON WELLS INCORPORATED
June 3, 1994 - July 26, 1995
DUKE & CO., 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 19
Date: 4/20/2017
NYSE Floor Clerk - Equities ExaminationSeries 25
Date: 10/9/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 12/4/1999
Limited Representative-Equity Trader ExamCurrent Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
