Eric S. Schnell
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 Steven Schnell, who also goes by Eric Schnell, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 4 firms and has passed the Series 63 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
October 2, 1996 - April 21, 1998
W.J. NOLAN & COMPANY, INC.
July 26, 1995 - October 4, 1996
KENSINGTON WELLS INCORPORATED
July 14, 1994 - July 26, 1995
DUKE & CO., INC.
May 10, 1994 - March 16, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
Current Firm
W.J. NOLAN & COMPANY, INC.
CRD#: 16465 / SEC#: , 8-33890
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOLAN, WILLIAM JOHN | PRESIDENT/ TREASURER/ DIRECTOR/ SHAREHOLDER/MSRB PRINICIPAL | 730316 |
| BELMONTE, ANTHONY FRANK | SHAREHOLDER | 3250612 |
| CHIRONIS, PAUL GEORGE | SHAREHOLDER | 1057611 |
| KEENAN, IVETTE | CORPORATE SECRETARY/SHAREHOLDER/DIRECTOR | 1099345 |
| AGTUCA, ANELYN AGUILLO | FINOP | 2745961 |
| AULD, JERRY | BRANCH OFFICE MANAGER/CROP/SROP/DIRECTOR OF COMPLIANCE | 2489295 |
| BRICKNER, WARD RUSSELL | TRADING DESK PRINCIPAL/ SUPERVISOR | 1434842 |
| MAKSUDIAN, WILLIAM | SHAREHOLDER | 1465396 |
| ORLANSKY, AHARON | SUPERVISORY ANALYST | 1247171 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
