Eric C. Blau
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 Charles Blau 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 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2012 - October 23, 2013
CAPITAL GUARDIAN, LLC
January 3, 2011 - October 15, 2014
CG CAPITAL MARKETS, LLC
July 1, 2003 - March 25, 2009
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 28, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL GUARDIAN, LLC
CRD#: 137919 / SEC#: , 8-67133
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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