Erick M. Bleicher

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CRD#: 2847926

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.

Erick Max Bleicher was a registered financial professional .

Erick is a previously registered financial professional and started their career in finance in 1997. Erick had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

RIA

CRD#: 17609

BOCA RATON, FL

Past

December 2, 2008 - October 2, 2009

CRD#: 7870

BOCA RATON, FL

Past

June 17, 2004 - October 4, 2005

TD AMERITRADE, INC.

RIA

CRD#: 7870

MELVILLE, NY

Past

July 10, 1998 - October 4, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 16, 1997 - July 14, 1998

WALSH MANNING SECURITIES, LLC

CRD#: 30826

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/7/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/22/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/8/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

LAIDLAW & COMPANY (UK) LTD.

LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

16 Berkeley St. Suite 7.09, London, W1J 8DZ

Mailing Address

521 5th Avenue 12th Fl, New York, NY 10175

Phone number

(212) 697-5200

Established

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LAIDLAW HOLDINGS LTD	OWNER
BELLO, JAMES ALAN	CCO	2844016
DAPONTE, ARTHUR JARROD	FINOP	7801577
EITNER, MATTHEW D	CHIEF EXECUTIVE OFFICER	3267261
REGAN, HUGH	DIRECTOR - INVESTMENT BANKING	1254114
SILVERMAN, PETER HOWARD	SEO/BRANCH MANAGER	1239510

Disclosures

Regulatory Event	9
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.

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Advisor Monitoring

Firm Stability Insights

Erick M. Bleicher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IAA FINANCIAL LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

WALSH MANNING SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2003

Series 63

Date: 4/21/1997

Series 7

Date: 4/14/1997

Series 10

Date: 8/22/2002

Series 9

Date: 3/8/2001

Current Firm

LAIDLAW & COMPANY (UK) LTD.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LAIDLAW & COMPANY (UK) LTD.

TRUST BUT VERIFY

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