ES
Erik K. Schwendenman
GEORGESON SECURITIES
Canton, MA 02021
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CRD#: 2845378
ES
Professional summary
Erik Karl Schwendenman, who also goes by Erik Schwendednman, Erik Schwendenman, is a registered financial professional currently at GEORGESON SECURITIES CORPORATION located in Canton, Massachusetts.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2012. Erik has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erik Schwendednman | Erik Schwendenman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Erik Karl Schwendenman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 9, 2012 - Present
GEORGESON SECURITIES CORPORATION
Office #1: 150 Royall St, Canton, MA 02021BD
CRD#: 46749
Canton, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(1/7/2013)
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Alaska(1/7/2013)
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Arizona(1/7/2013)
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Arkansas(1/7/2013)
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California(1/7/2013)
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Colorado(5/1/2012)
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Connecticut(1/7/2013)
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Delaware(1/7/2013)
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District of Columbia(5/1/2012)
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Florida(5/1/2012)
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Georgia(1/7/2013)
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Hawaii(1/7/2013)
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Idaho(1/7/2013)
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Illinois(1/7/2013)
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Indiana(1/7/2013)
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Iowa(1/7/2013)
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Kansas(1/7/2013)
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Kentucky(1/7/2013)
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Louisiana(5/1/2012)
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Maine(1/7/2013)
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Maryland(5/1/2012)
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Massachusetts(1/7/2013)
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Michigan(1/7/2013)
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Minnesota(1/7/2013)
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Mississippi(1/7/2013)
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Missouri(1/7/2013)
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Montana(1/7/2013)
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Nebraska(1/7/2013)
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Nevada(1/7/2013)
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New Hampshire(1/7/2013)
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New Jersey(5/1/2012)
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New Mexico(1/7/2013)
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New York(1/7/2013)
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North Carolina(1/8/2013)
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North Dakota(1/7/2013)
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Ohio(5/2/2012)
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Oklahoma(1/7/2013)
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Oregon(1/7/2013)
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Pennsylvania(1/7/2013)
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Puerto Rico(5/1/2012)
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Rhode Island(1/7/2013)
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South Carolina(1/7/2013)
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South Dakota(1/7/2013)
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Tennessee(1/7/2013)
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Texas(1/7/2013)
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Utah(1/7/2013)
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Vermont(5/1/2012)
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Virginia(1/7/2013)
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Washington(1/7/2013)
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West Virginia(1/7/2013)
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Wisconsin(1/7/2013)
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Wyoming(1/7/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GEORGESON SECURITIES CORPORATION
GEORGESON SECURITIES CORPORATION | GEORGESON SHAREHOLDER SECURITIES CORP.
CRD#: 46749 / SEC#: , 8-51538
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
118 Fernwood Avenue, Edison, NJ 08837
Mailing Address
118 Fernwood Avenue, Edison, NJ 08837
Phone number
(201) 275-5342
Established
Delaware since 12/15/1998
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GEORGESON LLC | 100% OWNER | |
| CHASSE, JEFFREY GEORGE | ASSISTANT TREASURER | 6383899 |
| CLEMONS, GREGORY JOE | ASSISTANT TREASURER | 7162929 |
| FRIERSON, SHEILA | BOARD DIRECTOR | 7463457 |
| FROMBERG, ROBERT MARC | SECRETARY | 6034320 |
| GRUBER, CATHERINE | ASSISTANT TREASURER | 7658317 |
| MOCOGNI, SHAWNA LEIGH | ASSISTANT TREASURER | 7164315 |
| NISLEY, CYNTHIA BLOUNT | PRESIDENT/DIRECTOR | 5369413 |
| PARK, JIN SOO | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND FINANCIAL AND OPERATIONS PRINCIPAL | 4836106 |
| TSOUNAKIS, IAKOVOS | CHIEF COMPLIANCE OFFICER | 3259778 |
Disclosures
| Regulatory Event | 5 |
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.
Company Information
GEORGESON SECURITIES CORPORATION
CRD#: 46749Canton, MA 02021TRUST BUT VERIFY
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