Eric M. Stuerken
Professional summary
Eric Michael Stuerken was barred by 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 3 firms, which includes HD BROUS & CO. INC., MORGAN GRANT CAPITAL CORP., INVESTORS ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1998 - May 26, 1999
HD BROUS & CO., INC.
June 30, 1997 - January 1, 1998
MORGAN GRANT CAPITAL CORP.
December 16, 1996 - September 25, 1997
INVESTORS ASSOCIATES, INC.
November 14, 1995 - December 13, 1996
INVESTORS ASSOCIATES, INC.
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
HD BROUS & CO., INC.
CRD#: 22062 / SEC#: , 8-39382
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROUS, ELLEN | SECRETARY | 2375949 |
| BROUS, HOWARD DAVID | CHAIRMAN OF THE BOARD | 31868 |
| BROUS, ROBERT JASON | CHIEF EXECUTIVE OFFICER | 2999689 |
| DILLON, JOHN JOSEPH | DIRECTOR OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4470999 |
| GREEN, RUSSELL PAUL | CROP & SROP | 1391627 |
| REINKRAUT, BARRY A | FINOP | 1696327 |
| SINE, BARRY MICHAEL | SUPERVISORY ANALYST | 2155603 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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