Eric J. Carlino

DV SECURITIES

New York, NY 10014

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CRD#: 2898311

Professional summary

Eric James Carlino is a registered financial professional currently at DV SECURITIES, LLC located in New York, New York and DV EQUITIES located in Chicago, Illinois.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1997. Eric has worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 57TO, SIE, Series 7 and Series 24 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) - BD

Click below to view Eric James Carlino'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®

None

Experience

Current

February 7, 2020 - Present

DV SECURITIES, LLC

Office #1: 395 Hudson Street Suite 701, New York, NY 10014

CRD#: 305134

New York, NY

Current

October 25, 2024 - Present

DV EQUITIES

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605

CRD#: 312688

Chicago, IL

Past

July 6, 2021 - March 6, 2024

DV EQUITIES

CRD#: 312688

CHICAGO, IL

Past

August 19, 2002 - May 4, 2009

RONIN CAPITAL, LLC

CRD#: 118428

CHICAGO, IL

Past

September 16, 1999 - April 6, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

May 29, 1997 - September 18, 1997

ROSENTHAL GLOBAL SECURITIES LLC

CRD#: 19721

CHICAGO, IL

State Registrations and Notice Filings

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

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

Connecticut
(9/6/2024)

Illinois
(9/26/2024)

Maryland
(11/1/2024)

New Jersey
(9/23/2024)

New York
(9/26/2024)

Exams

State Security Law Exam

Series 63

Date: 7/29/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 4/19/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 6/16/2022

General Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 10/21/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 5/22/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/3/2020

General Securities Principal Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

DV EQUITIES

DV EQUITIES | DV SECURITIES II, LLC | DV EQUITIES, LLC

CRD#: 312688 / SEC#: , 8-70659

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 S. Financial Place Suite 2800, Chicago, IL 60605

Mailing Address

425 S. Financial Place Suite 2800, Chicago, IL 60605

Phone number

(312) 837-0649

Established

Delaware since 12/09/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DV GROUP, LLC	MEMBER
CARLINO, ERIC JAMES	DIRECTOR OF FIXED INCOME/TRADING PRINCIPAL	2898311
HORGAN, RICHARD JOHN	CHIEF FINANCIAL OFFICER	6697860
KATZ, SHIFRA	CHIEF COMPLIANCE OFFICER	7166902

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Eric J. Carlino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric James Carlino's CRS (Customer Relationship Summary).

Certified licenses

Experience

DV EQUITIES

DV EQUITIES

RONIN CAPITAL, LLC

COWEN AND COMPANY

ROSENTHAL GLOBAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/2024

Series 99TO

Date: 4/19/2023

Series 7TO

Date: 6/16/2022

Series 57TO

Date: 10/21/2019

SIE

Date: 5/22/2019

Series 7

Date: 9/16/1999

Series 24

Date: 1/3/2020

Cboe Exchange, Inc.

FINRA

Nasdaq Stock Market

Current Firm

DV EQUITIES

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

DV EQUITIES

TRUST BUT VERIFY

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