Eric A. Souza
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 Anthony Souza was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2013 - June 25, 2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
June 20, 2006 - July 1, 2013
NATIXIS DISTRIBUTION, LLC
August 16, 2005 - May 22, 2006
STONE & YOUNGBERG LLC
November 21, 2003 - August 3, 2005
CHARLES SCHWAB & CO., 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
Current Firm
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
CRD#: 46902 / SEC#: , 8-51582
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILICON VALLEY BANK | PARENT | |
| CASEY, BRENDAN WALL | DIRECTOR | 2794197 |
| CHEONG, AMY LAI MUI | CHIEF FINANCIAL OFFICER | 4654230 |
| HACKENBURG, KARA NICOLE | CHIEF COMPLIANCE OFFICER | 2675466 |
| HALL, DARCEY NOEL | ANTI-MONEY LAUNDERING OFFICER | 2599719 |
| HUSAIN, KAMRAN FOUAD | DIRECTOR | 5947865 |
| MATTERA, RICHARD JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2246513 |
| MOSS, LAURI LYNN | PRESIDENT, CEO, AND DIRECTOR | 1377807 |
| PIRACHA, AMENA | SECRETARY | |
| SABOW, DAVID MICHAEL | DIRECTOR | 5138501 |
| SCHNITZ, JEFFREY NAYLOR | DIRECTOR | 2659365 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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