Eric H. Withrow
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 Hunter Withrow was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 62 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
May 8, 2018 - August 14, 2025
SCOTIA CAPITAL (USA) INC.
January 5, 2012 - April 25, 2018
RBC CAPITAL MARKETS, LLC
March 19, 2010 - October 28, 2011
NOMURA SECURITIES NORTH AMERICA, LLC
February 26, 2010 - January 6, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
September 19, 2003 - April 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2002 - August 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1998 - July 16, 2001
AFFILIATED BANKERS CAPITAL, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 10/22/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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