Eric B. Swergold
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 Benjamin Swergold was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2001. Eric had worked at 2 firms and has passed the Series 65 exam.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2018 - July 25, 2026
FIRESTORM CAPITAL
March 11, 2011 - December 31, 2017
FIRESTORM CAPITAL
September 18, 2001 - February 16, 2011
GRUBER & MCBAINE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
FIRESTORM CAPITAL
CRD#: 155732 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 9,000,000 |
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.
