Eric R. Welle
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.
Eric Richard Welle SR, who also goes by Eric Richard Welle, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1974. Eric had worked at 6 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2014 - April 22, 2015
LAMPERT CAPITAL MARKETS INC.
January 16, 2009 - April 14, 2014
SEVEN POINTS CAPITAL, LLC
June 28, 1999 - January 14, 2009
PACIFIC AMERICAN SECURITIES, LLC
September 25, 1991 - June 28, 1999
ZA ASSOCIATES, INC.
January 25, 1982 - June 14, 1991
JEFFERIES EXECUTION SERVICES, INC.
June 19, 1974 - November 18, 1985
JSC SECURITIES, INC.
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
Series 1
Date: 6/17/1974
Registered Representative ExaminationCurrent Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
