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ES

Eric T. Seiden

Some features on this profile are disabled
CRD#: 2561743
ES

Professional summary

Eric Todd Seiden was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eric is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Eric had worked at 9 firms, which includes SIERRA EQUITY GROUP LLC, REGAL SECURITIES INC., LEGEND MERCHANT GROUP INC., KC MAY SECURITIES CORP., RICHMARK CAPITAL CORPORATION, LLOYD WADE SECURITIES INC., GKN SECURITIES CORP., INVESTORS ASSOCIATES INC., FLORIDA FINANCIAL CENTERS INC..

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 12, 2008 - October 29, 2008

SIERRA EQUITY GROUP LLC

BD
CRD#: 36518
BOCA RATON, FL
Past

April 10, 2008 - October 7, 2008

REGAL SECURITIES, INC.

BD
CRD#: 7297
GLENVIEW, IL
Past

November 16, 2006 - May 15, 2008

LEGEND MERCHANT GROUP, INC.

BD
CRD#: 5155
NEW YORK, NY
Past

October 5, 2000 - May 30, 2002

KC MAY SECURITIES CORP.

BD
CRD#: 17833
NEW YORK, NY
Past

August 31, 1998 - October 5, 2000

RICHMARK CAPITAL CORPORATION

BD
CRD#: 43162
IRVING, TX
Past

October 2, 1996 - August 21, 1998

LLOYD WADE SECURITIES INC.

BD
CRD#: 39653
DALLAS, TX
Past

May 24, 1996 - October 8, 1996

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

September 1, 1995 - June 11, 1996

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

May 16, 1995 - September 25, 1995

FLORIDA FINANCIAL CENTERS, INC.

BD
CRD#: 30058
Past

January 3, 1995 - May 26, 1995

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/2/1997
General Securities Principal Examination

Current Firm

SE
SIERRA EQUITY GROUP LLC
ALLEN GODDARD MCGOWAN PAK & PARTNERS LLC | SIERRA EQUITY GROUP LTD. | SIERRA EQUITY GROUP LLC | SIERRA EQUITY GROUP | HILLCREST ASSET MANAGEMENT, INC. | BALLENTINE INVESTMENTS, INC. | BALLENTINE & BAUER INVESTMENTS, INC. | ALLEN PARTNERS

CRD#: 36518 / SEC#: , 8-47318

BD
Cancelled by SEC on 07/25/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/17/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOM, ERIC LAWRENCEPRESIDENT, GENERAL PRINCIPAL, CHIEF COMPLIANCE OFFICER1742255

Disclosures

Regulatory Event4
Arbitration1

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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Company Information

SIERRA EQUITY GROUP LLC

CRD#: 36518

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