Eric B. Nagel
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 Brian Nagel was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2004 - November 23, 2012
WHITAKER SECURITIES LLC
May 22, 2002 - October 12, 2004
PECONIC SECURITIES LLC
January 24, 2001 - April 26, 2002
MCFADDEN, FARRELL & SMITH, L.P.
August 7, 1998 - February 15, 2001
TULLETT PREBON FINANCIAL SERVICES LLC
February 18, 1998 - August 10, 1998
FIRST BROKERS SECURITIES LLC
July 1, 1997 - December 22, 1997
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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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