Erik R. Bishop
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 Richard Bishop, who also goes by Erik R Armenteros-bishop, Erik R Bishop, was a registered financial advisor .
Erik is a previously registered financial advisor and started their career in finance in 2002. Erik had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2010 - November 9, 2010
BROOKSTONE SECURITIES, INC.
February 5, 2010 - October 22, 2010
INVESTMENT CONSULTING GROUP, INC.
January 2, 2009 - June 30, 2009
IFS SECURITIES
November 13, 2008 - January 2, 2009
NEWBRIDGE SECURITIES CORPORATION
February 29, 2008 - November 14, 2008
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
October 12, 2005 - November 14, 2008
LASALLE ST SECURITIES, L.L.C.
February 28, 2002 - October 10, 2005
SALOMON GREY FINANCIAL 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
Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
