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EB

Eugene A. Brumberger

Some features on this profile are disabled
CRD#: 33558
EB

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.

Eugene Alan Brumberger, who also goes by E Alan Brumberger, was a registered financial professional .

Eugene is a previously registered financial professional and started their career in finance in 1970. Eugene had worked at 9 firms and has passed the Series 63, SIE, Series 62, PC, Series 1, Series 24 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

E Alan Brumberger

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

December 8, 2004 - June 26, 2020

EMERALD POINT CAPITAL, LLC

BD
CRD#: 132014
NEW YORK, NY
Past

January 2, 2000 - May 17, 2004

G.C. ANDERSEN PARTNERS CAPITAL, LLC

BD
CRD#: 44631
NEW YORK, NY
Past

January 27, 1984 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

September 7, 1982 - April 10, 1984

CITICORP SECURITIES, INC.

BD
CRD#: 7474
Past

November 26, 1979 - July 15, 1982

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

February 10, 1972 - May 6, 1977

LOEB, RHOADES & CO., INCORPORATED

BD
CRD#: 2598
Past

December 16, 1970 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525

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
RR
Series 63
Date: 5/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 12/28/1999
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
PC
Date: 9/1/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 12/7/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 1/31/1972
Registered Principal Examination

Current Firm

EP
EMERALD POINT CAPITAL, LLC
DIAMOND EDGE CAPITAL PARTNERS, LLC | EMERALD POINT CAPITAL, LLC

CRD#: 132014 / SEC#: , 8-66538

BD
Terminated by SEC on 08/25/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/17/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EMERALD POINT CAPITAL HOLDINGS, LLC100% OWNER & MANAGING MEMBER
BRUMBERGER, EUGENE ALANCCO/CEO/GSP33558
BURNS, ROSEMARY ANNFINOP2228853

Disclosures

Civil Event1

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

EMERALD POINT CAPITAL, LLC

CRD#: 132014

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