Eric R. Lupo
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 R Lupo, who also goes by Eric Rau Lupo, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1995. Eric had worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2001 - October 1, 2001
BROADBAND CAPITAL MANAGEMENT, LLC
May 21, 1997 - December 18, 2000
MORGAN STANLEY DW INC.
December 8, 1995 - May 14, 1997
CITIGROUP GLOBAL MARKETS INC.
November 2, 1995 - November 22, 1995
SANDS BROTHERS & CO., LTD.
October 9, 1995 - October 25, 1995
CLEARING SERVICES OF AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROADBAND CAPITAL MANAGEMENT, LLC
CRD#: 48001 / SEC#: , 8-51992
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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