Eric D. Lichtenstein
Professional summary
Eric D Lichtenstein, who also goes by Eric Daniel Lichtenstein, is a registered financial professional currently at GTS SECURITIES LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 10 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric D Lichtenstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2019 - Present
GTS SECURITIES LLC
Office #1: 625 Avenue Of The Americas 3rd Floor, New York, NY 10011September 18, 2013 - May 20, 2019
CANTOR FITZGERALD & CO.
July 2, 2012 - September 20, 2013
VIRTU AMERICAS LLC
September 22, 2010 - December 31, 2010
KNIGHT CAPITAL MARKETS LLC
June 1, 2009 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
December 20, 2006 - June 16, 2009
NEWEDGE USA, LLC
March 29, 2005 - January 10, 2007
GFI SECURITIES LLC
October 30, 2003 - December 31, 2004
JOTA CAPITAL, LLC
October 30, 2003 - June 11, 2007
DE TRADING, LLC
May 15, 2003 - September 14, 2004
PUGLISI & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/20/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/24/2004
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
GTS SECURITIES LLC
CRD#: 149224 / SEC#: , 8-68126
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GTS FINANCIAL LLC | HOLDING COMPANY/CLASS A MEMBER | |
| GILLETTE, CHARLES P | TRADING AND MARKETS CHIEF COMPLIANCE OFFICER | 3174027 |
| NAZEM, DARIUSH | CHIEF OPERATING OFFICER | 4930821 |
| ROMANELLO, PATRICK JOSEPH | CORE BROKER DEALER CHIEF COMPLIANCE OFFICER | 5378090 |
| RUBENSTEIN, ARI M | CO-FOUNDER AND CHIEF EXECUTIVE OFFICER | 4134798 |
| TIRIOLO, CHRISTIAN JOHN | FINOP, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 3063877 |
Disclosures
| Regulatory Event | 38 |
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.
