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EC

Eric J. Cascone

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CRD#: 2586442
EC

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 Jason Cascone was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1995. Eric had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

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

February 16, 2018 - November 2, 2018

ARIVE CAPITAL MARKETS

BD
CRD#: 8060
Coram, NY
Past

December 5, 2016 - January 5, 2018

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
Miller Place, NY
Past

March 30, 2015 - December 5, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

March 13, 2015 - March 20, 2015

SIXTEEN SECURITIES, INC.

BD
CRD#: 104025
Miller Place, NY
Past

November 25, 2013 - March 13, 2015

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MILLER PLACE, NY
Past

June 22, 2010 - December 10, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

January 26, 2009 - June 22, 2010

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
FARMINGDALE, NY
Past

February 6, 2006 - January 26, 2009

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FARMINGDALE, NY
Past

January 4, 2005 - February 6, 2006

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

November 21, 2001 - December 31, 2004

CANTELLA & CO., INC.

BD
CRD#: 13905
MALDEN, MA
Past

August 18, 1999 - December 10, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 24, 1995 - December 13, 1999

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, 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: 3/7/1995
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: 2/23/1995
General Securities Representative Examination

Current Firm

AC
ARIVE CAPITAL MARKETS
ARIVE CAPITAL MARKETS | REID AND ASSOCIATES, LLC | REID AND ASSOCIATES | REID & GILMOUR

CRD#: 8060 / SEC#: , 8-43350

BD
Terminated by SEC on 07/02/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIBERTY VIEW HOLDINGS LLCDIRECT OWNER
ARIVE HOLDINGS, LLCDIRECT OWNER
UNIFIED WEALTH MANAGEMENT LLCDIRECT OWNER
KRISPEAL, RAQUEL ECCO5733217
SULLIVAN, THOMAS FRANCISCFO/FINOP1145000

Disclosures

Regulatory Event3

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

ARIVE CAPITAL MARKETS

CRD#: 8060

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