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EJ

Eric J. Justin

Some features on this profile are disabled
CRD#: 2633979
EJ

Professional summary

Eric Jonathon Justin was barred by the FINRA 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 4 firms, which includes HAZARD & SIEGEL INC., DORTCH SECURITIES & INVESTMENTS INC., NATIONAL PLANNING CORPORATION, CETERA WEALTH SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Justin

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

April 25, 2007 - March 20, 2012

HAZARD & SIEGEL, INC.

BD
CRD#: 2048
DEPEW, NY
Past

February 1, 2002 - September 20, 2006

DORTCH SECURITIES & INVESTMENTS, INC.

BD
CRD#: 42207
LITTLE ROCK, AR
Past

May 14, 1999 - December 20, 2001

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

August 8, 1995 - May 14, 1999

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA

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: 8/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/7/1995
Investment Company Products/Variable Contracts Representative Examination

Current Firm

H&
HAZARD & SIEGEL, INC.
HAZARD & SIEGEL, INC.

CRD#: 2048 / SEC#: , 8-13942

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

Main Address
5793 Widewaters Parkway, Dewitt, NY 13214
Mailing Address
Po Box 157, Syracuse, NY 13214
Phone number
(315) 414-0722
Established
New York since 06/15/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOSEPH, ALEXANDER SOTIR JRCHIEF EXECUTIVE OFFICER1092307
MULLEN, DAVID MARKPRESIDENT/CHIEF COMPLIANCE OFFICER1327419

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

HAZARD & SIEGEL, INC.

CRD#: 2048

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