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Stephen D. Elliott

ERG SECURITIES (US)
NORWALK, CT 06854
CRD#: 2490852
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SE
Stephen David ElliottERG SECURITIES (US)

Professional summary

Stephen David Elliott is a registered financial professional currently at ERG SECURITIES (US) LLC located in Norwalk, Connecticut.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen David Elliott's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 15, 2026 - Present

ERG SECURITIES (US) LLC

Office #1: 50 Washington Street Suite 921, Norwalk, CT 06854
BD
CRD#: 121057
NORWALK, CT
Past

November 3, 2025 - April 30, 2026

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
New York, NY
Past

February 29, 2016 - September 20, 2024

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
CHICAGO, IL
Past

September 9, 2014 - November 30, 2015

CANACCORD GENUITY LLC

BD
CRD#: 1020
EVANSTON, IL
Past

July 1, 2013 - September 4, 2014

CANTOR FITZGERALD & CO.

BD
CRD#: 134
CHICAGO, IL
Past

July 8, 2011 - June 7, 2013

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 12, 2008 - July 17, 2009

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

February 21, 2001 - March 29, 2007

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 16, 2000 - November 13, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 25, 1998 - October 16, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

June 28, 1994 - July 17, 1998

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/15/2026)
RR
Florida
(6/15/2026)
RR
Illinois
(6/15/2026)
RR
New Jersey
(6/15/2026)
RR
New York
(6/15/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
ERG SECURITIES (US) LLC
ASPERION GROUP LLC | ERG SECURITIES (US) LLC

CRD#: 121057 / SEC#: , 8-65376

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 Washington Street Suite 921, Norwalk, CT 06854
Mailing Address
50 Washington Street Suite 921, Norwalk, CT 06854
Phone number
(646) 571-0173
Established
Delaware since 04/26/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ERG CAPITAL PARTNERS, LLCOWNER, MEMBER
GOODMAN, ROBERT MCCO, PRINCIPAL, CEO, AML OFFICER2246972
O'DOWD, GEORGE MARKPRINCIPAL2219430
RYAN, KIMBERLY ANNFINOP, PFO, POO4316310

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.

Company Information

ERG SECURITIES (US) LLC

CRD#: 121057Norwalk, CT 06854

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