Eric J. Novotny
Professional summary
Eric James Novotny was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Eric had worked at 4 firms, which includes CHARTER ONE SECURITIES INC., BANC ONE SECURITIES CORPORATION, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2002 - July 31, 2003
CHARTER ONE SECURITIES, INC.
July 15, 1999 - February 6, 2002
BANC ONE SECURITIES CORPORATION
April 29, 1998 - July 7, 1999
METROPOLITAN LIFE INSURANCE COMPANY
April 29, 1998 - July 7, 1999
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CHARTER ONE SECURITIES, INC.
CRD#: 13373 / SEC#: , 8-29142
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARTER ONE BANK, N.A. | SHAREHOLDER | |
| ANGUISH, JOSEPH EDWARD | CHIEF COMPLIANCE OFFICER | 1263738 |
| EISENHARDT, HOWARD | SECRETARY | |
| GUILFOYLE, KATHLEEN MARGARET | CHIEF FINANCIAL OFFICER | 4728634 |
| HOLLISTER, THOMAS JAMES | CHAIRMAN | |
| KOPP, BRADFORD BURNETT | DIRECTOR | 860833 |
| MILLARD, MICHAEL GERARD | CHIEF EXECUTIVE OFFICER / PRESIDENT | 722703 |
Disclosures
| Regulatory Event | 2 |
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