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EK

Eric J. Karle

QUATTRO M SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 4595854
EK

Professional summary

Eric John Karle is a registered financial professional currently at QUATTRO M SECURITIES INC. located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2002. Eric has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 25 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric John Karle's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 8, 2002 - Present

QUATTRO M SECURITIES INC.

Office #1: 501 Fifth Avenue 15th Floor, New York, NY 10017
BD
CRD#: 39289
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(11/17/2020)
RR
Illinois
(1/4/2018)
RR
Indiana
(9/9/2020)
RR
Massachusetts
(1/4/2018)
RR
New York
(1/30/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 4/24/2003
NYSE Trading Assistant Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

QM
QUATTRO M SECURITIES INC.
QUATTRO M SECURITIES INC.

CRD#: 39289 / SEC#: , 8-48629

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
501 Fifth Avenue 15th Floor, New York, NY 10017
Mailing Address
735 Ridgefield Road, Wilton, CT 06897
Phone number
(212) 402-1441
Established
New York since 12/07/1994
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAURO, EUGENE LOUISEXECUTIVE COMMITTEE CHAIRMAN
LANGE, KATHLEEN ASHCHIEF FINANCIAL OFFICER/CHIEF OPERATING OFFICER4474328
LEONARD, JUSTIN KERNCHIEF COMPLIANCE OFFICER, CEO4407585

Disclosures

Regulatory Event3

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.

Company Information

QUATTRO M SECURITIES INC.

CRD#: 39289New York, NY 10017

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