Eric N. Emslie
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 N Emslie, who also goes by Eric N Sendlien, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 25 firms and has passed the Series 63 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
October 4, 2011 - November 16, 2011
LAMPERT CAPITAL MARKETS INC.
May 27, 2010 - October 5, 2010
AEGIS CAPITAL CORP.
March 22, 2010 - May 6, 2010
BLACKBOOK CAPITAL, LLC
January 13, 2010 - March 9, 2010
CHELSEA FINANCIAL SERVICES
June 18, 2007 - July 23, 2008
THE CONCORD EQUITY GROUP, LLC
June 8, 2006 - June 29, 2006
MERCER CAPITAL LTD.
January 20, 2006 - February 1, 2006
MERCER CAPITAL LTD.
August 22, 2005 - September 13, 2005
ESSEX & YORK, INC.
October 25, 2004 - November 5, 2004
MILESTONE GROUP MANAGEMENT LLC
June 16, 2004 - July 12, 2004
GUNNALLEN FINANCIAL, INC
January 15, 2004 - February 24, 2004
J.P. TURNER & COMPANY, L.L.C.
July 3, 2003 - August 8, 2003
CONTINENTAL BROKER-DEALER CORP.
May 13, 2003 - June 20, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
March 31, 2003 - April 30, 2003
MILESTONE GROUP MANAGEMENT LLC
January 6, 2003 - April 14, 2003
DELTA ASSET MANAGEMENT COMPANY, LLC
December 3, 2002 - January 31, 2003
LLOYD, SCOTT & VALENTI, LTD.
April 9, 2001 - May 14, 2001
NEW WORLD FINANCIAL, INC.
February 6, 2001 - February 28, 2001
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
December 6, 2000 - February 12, 2001
1ST FREEDOM SECURITIES, LLC
September 25, 2000 - December 13, 2000
LADENBURG CAPITAL MANAGEMENT INC.
September 7, 2000 - October 25, 2000
GLOBAL CAPITAL MARKETS, LLC
June 19, 2000 - July 6, 2000
CONTINENTAL BROKER-DEALER CORP.
May 12, 2000 - May 16, 2000
SOLID ISG CAPITAL MARKETS, LLC
April 20, 2000 - May 5, 2000
DALTON KENT SECURITIES GROUP, INC.
April 10, 2000 - April 24, 2000
MILLENNIUM SECURITIES CORP.
February 22, 2000 - April 10, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
February 7, 2000 - March 21, 2000
LADENBURG CAPITAL MANAGEMENT INC.
December 16, 1999 - January 19, 2000
POST-LANE & CO., LLC
November 11, 1999 - November 30, 1999
FIRST INSTITUTIONAL SECURITIES, 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
Current Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
