Tolga T. Erman
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.
Tolga Tunc Erman was a registered financial professional .
Tolga is a previously registered financial professional and started their career in finance in 1996. Tolga had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2013 - August 14, 2014
ENCLAVE CAPITAL LLC
February 18, 2010 - August 22, 2011
ENCLAVE CAPITAL LLC
March 31, 2008 - November 4, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
February 10, 2006 - March 12, 2008
GLOBAL SECURITIES (USA), INC.
June 2, 2003 - February 8, 2006
TRILLIUM BROKERAGE SERVICES, LLC
April 20, 1998 - June 4, 2003
HEARTLAND SECURITIES CORP.
September 6, 1996 - April 21, 1998
ICAPITAL MARKETS LLC
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
Series 55
Date: 4/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
ENCLAVE CAPITAL LLC
CRD#: 22732 / SEC#: , 8-39592
Contact information
FINRA licenses (18 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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