Eric M. Hochman
Professional summary
Eric Michael Hochman, who also goes by Eric Michael Hochman, is a registered financial professional currently at CANACCORD GENUITY LLC 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 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Michael Hochman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2012 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119March 26, 2012 - March 29, 2012
CANACCORD GENUITY LLC
March 17, 2010 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
August 19, 2008 - March 17, 2010
NATIXIS SECURITIES AMERICAS LLC
August 18, 2006 - September 4, 2008
CITIGROUP GLOBAL MARKETS INC.
June 13, 2003 - August 18, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
April 15, 2002 - June 23, 2003
PARAGON CAPITAL MARKETS, INC.
July 10, 2000 - September 28, 2001
APEX CLEARING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/19/2012)
(12/10/2023)
(12/10/2023)
(12/10/2023)
(11/19/2012)
(12/10/2023)
(12/10/2023)
(6/8/2016)
(11/19/2012)
(12/10/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/14/2000
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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