Eric Stein
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 Stein, who also goes by E Howard Stein, Eric H Stein, Eric Howard Stein, Howard Stein, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 13 firms and has passed the Series 63, SIE 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
July 17, 2020 - April 8, 2022
SECURITIES AMERICA, INC.
March 5, 2020 - July 17, 2020
INVESTACORP, INC.
April 18, 2018 - January 29, 2020
HSBC SECURITIES (USA) INC.
January 19, 2017 - April 5, 2018
INVESTACORP, INC.
March 16, 2015 - October 20, 2016
GFA SECURITIES, LLC
September 12, 2014 - January 13, 2015
LPL FINANCIAL LLC
January 3, 2012 - September 12, 2014
FINANCIAL TELESIS INC
June 4, 2007 - October 26, 2011
EQUITABLE ADVISORS, LLC
February 28, 2003 - April 11, 2006
PARK AVENUE SECURITIES LLC
January 28, 1998 - June 4, 1998
SANDS BROTHERS & CO., LTD.
May 14, 1997 - December 31, 1997
FIRST UNITED EQUITIES CORPORATION
March 18, 1996 - May 9, 1997
JOSEPH STEVENS & CO., INC.
July 31, 1995 - March 26, 1996
D. H. BLAIR & CO., INC.
December 13, 1994 - August 2, 1995
BARINGTON CAPITAL GROUP, L.P.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
