Eric Kurtz
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 Kurtz, who also goes by Eric Vaughn Kurtz, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1996. Eric had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2020 - October 3, 2023
ASCENSUS BROKER DEALER SERVICES, LLC
October 31, 2018 - January 2, 2019
ASCENSUS FINANCIAL SERVICES, LLC.
October 19, 2018 - July 29, 2019
ASCENSUS BROKER DEALER SERVICES, LLC
March 11, 2009 - November 4, 2013
ASCENSUS FINANCIAL SERVICES, LLC.
October 9, 2008 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
February 14, 2008 - October 30, 2008
AVENTURA SECURITIES, LLC
March 22, 2006 - May 23, 2007
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - May 23, 2007
FRANKLIN DISTRIBUTORS, LLC
April 18, 2000 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
November 18, 1996 - November 5, 1999
CITISTREET EQUITIES 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
Current Firm
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
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.
