Eric A. Neunzig
Professional summary
Eric Alexander Neunzig is a registered financial professional currently at TRIAD SECURITIES CORP located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2000. Eric has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Alexander Neunzig's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2010 - Present
TRIAD SECURITIES CORP
Office #1: 111 Broadway 11th Floor, New York, NY, 10006December 21, 2009 - September 28, 2010
GENESIS SECURITIES, LLC
October 3, 2006 - December 1, 2009
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
December 2, 2003 - September 27, 2006
TRADE MANAGE CAPITAL, INC.
October 18, 2000 - December 12, 2003
UBS CAPITAL MARKETS L.P.
April 13, 2000 - October 20, 2000
TRIAD SECURITIES CORP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/6/2010)
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(10/6/2010)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/5/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
TRIAD SECURITIES CORP
CRD#: 11363 / SEC#: , 8-20930
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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