Eric L. Noveshen
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 Lance Noveshen was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1996. Eric had worked at 5 firms and has passed the Series 65, Series 63 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
October 21, 2004 - September 21, 2005
GUNNALLEN FINANCIAL, INC
November 26, 2003 - July 22, 2004
NEWBRIDGE SECURITIES CORPORATION
November 7, 2003 - November 11, 2003
VIEWTRADE FINANCIAL
October 25, 2000 - August 28, 2003
WINDSOR STREET CAPITAL, LP
June 12, 1996 - November 13, 2000
GRUNTAL & CO., L.L.C.
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
