Eric W. Ellinghaus
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 William Ellinghaus was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1995. Eric had worked at 8 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
September 26, 2014 - September 29, 2015
QUASAR TRADING, LLC
February 17, 2012 - September 26, 2013
B. RILEY & CO., LLC
July 2, 2010 - February 6, 2012
KAUFMAN BROS., L.P.
January 31, 2008 - June 18, 2010
C. L. KING & ASSOCIATES, INC.
June 4, 2001 - January 18, 2008
CANACCORD GENUITY SECURITIES LLC
May 13, 1998 - May 29, 2001
KAUFMAN BROS., L.P.
November 5, 1997 - February 2, 1998
NATWEST SECURITIES CORPORATION
April 25, 1996 - October 13, 1997
UBS SECURITIES LLC
March 27, 1995 - May 11, 1996
DIRECTED SERVICES 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
QUASAR TRADING, LLC
CRD#: 151974 / SEC#: , 8-68416
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
