EM
Eric C. Mergenthaler
BLOOMBERG TRADEBOOK LLC
New York, NY 10022
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CRD#: 4714355
EM
Professional summary
Eric Christian Mergenthaler is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Eric Christian Mergenthaler's 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®
NoneExperience
Current
June 2, 2010 - Present
BLOOMBERG TRADEBOOK LLC
Office #1: 731 Lexington Ave, New York, NY 10022BD
CRD#: 40881
New York, NY
Past
January 25, 2007 - January 12, 2009
AGS SPECIALISTS II, LLC
BD
CRD#: 142894
NEW YORK, NY
Past
September 26, 2003 - February 7, 2007
AGS SPECIALISTS LLC
BD
CRD#: 124520
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
Alabama(6/4/2010)
RR
Alaska(6/23/2022)
RR
Arizona(6/10/2010)
RR
Arkansas(6/7/2010)
RR
California(6/3/2010)
RR
Colorado(6/3/2010)
RR
Connecticut(6/4/2010)
RR
Delaware(6/3/2010)
RR
District of Columbia(6/18/2010)
RR
Florida(6/17/2010)
RR
Georgia(6/7/2010)
RR
Hawaii(6/4/2010)
RR
Idaho(6/2/2010)
RR
Illinois(6/2/2010)
RR
Indiana(6/7/2010)
RR
Iowa(6/4/2010)
RR
Kansas(6/8/2010)
RR
Kentucky(6/2/2010)
RR
Louisiana(6/10/2010)
RR
Maine(6/3/2010)
RR
Maryland(6/8/2010)
RR
Massachusetts(6/2/2010)
RR
Michigan(6/16/2010)
RR
Minnesota(6/4/2010)
RR
Mississippi(6/23/2022)
RR
Missouri(6/3/2010)
RR
Montana(6/23/2022)
RR
Nebraska(6/7/2010)
RR
Nevada(6/7/2010)
RR
New Hampshire(6/3/2010)
RR
New Jersey(6/7/2010)
RR
New Mexico(6/4/2010)
RR
New York(6/2/2010)
RR
North Carolina(6/23/2022)
RR
North Dakota(6/9/2010)
RR
Ohio(6/9/2010)
RR
Oklahoma(6/17/2010)
RR
Oregon(6/7/2010)
RR
Pennsylvania(6/3/2010)
RR
Puerto Rico(6/23/2022)
RR
Rhode Island(6/4/2010)
RR
South Carolina(6/3/2010)
RR
South Dakota(6/7/2010)
RR
Tennessee(6/23/2022)
RR
Texas(6/2/2010)
RR
Utah(6/23/2022)
RR
Vermont(6/7/2010)
RR
Virginia(6/3/2010)
RR
Washington(6/2/2010)
RR
West Virginia(6/4/2010)
RR
Wisconsin(6/7/2010)
RR
Wyoming(6/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/14/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
