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EL

Eric S. Lyght

Some features on this profile are disabled
CRD#: 3278913
EL

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 Shaw Lyght was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 2 firms and has passed the Series 65, Series 63, Series 3, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 22, 2009 - January 23, 2012

DCM BROKERS, LLC

BD
CRD#: 144158
CHICAGO, IL
Past

May 23, 2002 - December 16, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

May 14, 2001 - December 16, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 3, 1999 - April 30, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/30/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/13/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/3/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 12/13/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/1999
General Securities Representative Examination

Current Firm

DB
DCM BROKERS, LLC
DCM BROKERS, LLC

CRD#: 144158 / SEC#: , 8-67640

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

Main Address
566 W. Adams, Suite 300, Chicago, IL 60661
Mailing Address
555 W. Jackson Suite 600, Chicago, IL 60661
Phone number
(312) 756-4450
Established
Illinois since 01/08/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DEARBORN CAPITAL MANAGEMENT, LLCSOLE MEMBER
KAVANAGH, DAVID MICHAELPRESIDENT715753
OROURKE, MAUREEN ANNECFO AND FINOP2219725
PERKAUS, LAUREN KAVANAGHCCO, AMLCO

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

DCM BROKERS, LLC

CRD#: 144158

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