Erik J. Levy
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.
Erik Jason Levy was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 2000. Erik had worked at 4 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2003 - July 22, 2005
ROCK ISLAND SECURITIES, INC.
October 11, 2001 - March 26, 2002
MELVIN SPECIALISTS, L.L.C.
March 6, 2000 - June 19, 2000
MELVIN SECURITIES, L.L.C.
January 2, 2000 - February 8, 2000
HEITMAN SECURITIES LLC
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 55
Date: 5/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
ROCK ISLAND SECURITIES, INC.
CRD#: 30782 / SEC#: , 8-43872
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ROCK ISLAND COMPANY | STOCKHOLDER | |
| DAVIS, ANDREW ALLAN | PRESIDENT | 1744454 |
| DAVIS, ANDREW ALLAN | CHIEF EXECUTIVE OFFICER | 1744454 |
| DAVIS, ANDREW ALLAN | CHIEF OPERATING OFFICER | |
| DAVIS, ANDREW ALLAN | CHAIRMAN | 1744454 |
| KOLE, ROBYN ELLEN | SALES SUPERVISOR | 2049986 |
| KOLE, ROBYN ELLEN | CHIEF FINANCIAL OFFICER | 2049986 |
| KOLE, ROBYN ELLEN | CHIEF COMPLIANCE OFFICER | 2049986 |
Disclosures
| Regulatory Event | 3 |
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.
