Eric S. Baron
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 Scott Baron, who also goes by Eric Scott Baron Sr, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 20 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
January 7, 2022 - May 31, 2023
NETWORK 1 FINANCIAL SECURITIES INC.
September 6, 2019 - February 2, 2022
SPARTAN CAPITAL SECURITIES, LLC
December 1, 2015 - October 4, 2019
SW FINANCIAL
October 23, 2014 - November 24, 2015
LAIDLAW & COMPANY (UK) LTD.
November 22, 2012 - October 21, 2014
BLACKBOOK CAPITAL, LLC
October 1, 2012 - November 12, 2012
C.K. COOPER & COMPANY, INC.
January 18, 2012 - September 25, 2012
GLOBAL ARENA CAPITAL CORP
August 27, 2010 - February 7, 2012
ROCKWELL GLOBAL CAPITAL LLC
April 2, 2009 - March 8, 2010
PHD CAPITAL
August 1, 2008 - April 2, 2009
BROOKVILLE CAPITAL PARTNERS
May 28, 2008 - July 22, 2008
J.D. NICHOLAS & ASSOCIATES, INC.
February 25, 2008 - April 8, 2008
J.D. NICHOLAS & ASSOCIATES, INC.
March 30, 2007 - March 10, 2008
BROOKVILLE CAPITAL PARTNERS
January 19, 2007 - March 30, 2007
JHS CAPITAL ADVISORS, LLC
April 24, 2006 - October 10, 2006
INVESTORS CAPITAL CORP.
January 6, 2006 - February 14, 2006
BROOKVILLE CAPITAL PARTNERS
December 1, 2005 - January 26, 2006
GREAT EASTERN SECURITIES, INC.
August 30, 2004 - February 1, 2005
BENSON YORK GROUP, INC.
July 13, 2004 - October 4, 2004
LH ROSS & COMPANY, INC.
November 19, 2003 - July 14, 2004
J.P. TURNER & COMPANY, L.L.C.
October 23, 2002 - October 1, 2003
CARDINAL CAPITAL MANAGEMENT, INC.
May 17, 2001 - April 1, 2002
GLENN MICHAEL FINANCIAL, INC.
November 4, 1997 - March 15, 2001
FIRST ALLIED SECURITIES, 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
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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.
