Eric M. Joseph

FIRST TRYON SECURITIES

Charlotte, NC 28209

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CRD#: 4001509

Professional summary

Eric Michael Joseph is a registered financial professional currently at FIRST TRYON SECURITIES, LLC located in Charlotte, North Carolina.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

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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

Current

January 12, 2004 - Present

FIRST TRYON SECURITIES, LLC

Office #1: 6101 Carnegie Blvd #210, Charlotte, NC 28209

CRD#: 7336

Charlotte, NC

Past

May 6, 2002 - April 28, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

March 19, 2002 - April 28, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 4, 2001 - August 27, 2001

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 27, 1999 - January 1, 2001

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/10/2010)

North Carolina
(1/12/2004)

Exams

State Security Law Exam

Series 63

Date: 6/26/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/19/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRYON SECURITIES, LLC

BRUNNEMER & CO. | FIRST TRYON SECURITIES, LLC | FIRST CHARLOTTE CORPORATION

CRD#: 7336 / SEC#: , 8-21426

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

6101 Carnegie Blvd #210, Charlotte, NC 28209

Mailing Address

6101 Carnegie Blvd #210, Charlotte, NC 28209

Phone number

(704) 372-6118

Established

North Carolina since 07/25/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BRUNNEMER & CO.	MEMBER
BRUNNEMER, HUBER KEITH III	MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE	2758256
BECK, ERIC JASON	CCO	4824373
BRUNNEMER, HEBER KEITH JR	MEMBER	33824
CARPENTER, MARGARET BRUNNEMER MS.	MEMBER, CHIEF FINANCIAL OFFICER, FINOP,	2042716
HOWELL, ELIZABETH WARREN	MEMBER, SENIOR VICE PRESIDENT	4791377
JOSEPH, ERIC MICHAEL	MEMBER, SENIOR VICE PRESIDENT	4001509
WARDLAW, CRAIG M JR.	MEMBER, SENIOR VICE PRESIDENT	5316503

Disclosures

Regulatory Event

Red Flags

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Eric M. Joseph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Michael Joseph's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

LORD ABBETT DISTRIBUTOR LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/2000

Series 65

Date: 6/19/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1999

FINRA

Current Firm

FIRST TRYON SECURITIES, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST TRYON SECURITIES, LLC

TRUST BUT VERIFY

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