CE
Caroline S. Eisen
NATIXIS SECURITIES AMERICAS
NEW YORK, NY 10020
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CRD#: 4789116
CE
Professional summary
Caroline S Eisen, who also goes by Caroline Sue Bloomberg, Caroline Sue Eisen, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 2004. Caroline has worked at 7 firms and has passed the Series 63, SIE and Series 17 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caroline Sue Bloomberg | Caroline Sue Eisen
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 Caroline S Eisen'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
October 19, 2018 - Present
NATIXIS SECURITIES AMERICAS LLC
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1101
NEW YORK, NY
Past
December 3, 2012 - October 25, 2018
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
March 10, 2011 - November 21, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
October 30, 2008 - January 28, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
September 22, 2008 - October 27, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
February 28, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 10, 2004 - February 23, 2007
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, 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(10/19/2018)
RR
Alaska(10/19/2018)
RR
Arizona(10/19/2018)
RR
Arkansas(10/19/2018)
RR
California(10/19/2018)
RR
Colorado(10/19/2018)
RR
Connecticut(10/19/2018)
RR
Delaware(10/19/2018)
RR
District of Columbia(10/19/2018)
RR
Florida(10/19/2018)
RR
Georgia(10/19/2018)
RR
Hawaii(10/19/2018)
RR
Idaho(10/19/2018)
RR
Illinois(10/19/2018)
RR
Indiana(10/19/2018)
RR
Iowa(10/19/2018)
RR
Kansas(10/19/2018)
RR
Kentucky(10/19/2018)
RR
Louisiana(10/19/2018)
RR
Maine(10/19/2018)
RR
Maryland(10/19/2018)
RR
Massachusetts(10/19/2018)
RR
Michigan(10/19/2018)
RR
Minnesota(10/19/2018)
RR
Mississippi(10/19/2018)
RR
Missouri(10/19/2018)
RR
Montana(10/19/2018)
RR
Nebraska(10/19/2018)
RR
Nevada(10/19/2018)
RR
New Hampshire(10/19/2018)
RR
New Jersey(10/19/2018)
RR
New Mexico(10/19/2018)
RR
New York(10/19/2018)
RR
North Carolina(10/19/2018)
RR
North Dakota(10/19/2018)
RR
Ohio(10/19/2018)
RR
Oklahoma(10/19/2018)
RR
Oregon(10/19/2018)
RR
Pennsylvania(10/19/2018)
RR
Rhode Island(10/19/2018)
RR
South Carolina(10/19/2018)
RR
South Dakota(10/19/2018)
RR
Tennessee(10/19/2018)
RR
Texas(10/19/2018)
RR
Utah(10/19/2018)
RR
Vermont(10/19/2018)
RR
Virginia(10/19/2018)
RR
Washington(10/19/2018)
RR
West Virginia(10/19/2018)
RR
Wisconsin(10/19/2018)
RR
Wyoming(10/19/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 17
Date: 5/7/2004
Limited Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
CRD#: 1101 / SEC#: 801-72849, 8-719
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| FARRELL, JOHN | PRINCIPAL OPERATIONS OFFICER | 5996161 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MAO, YUAN-PEI | CHIEF COMPLIANCE OFFICER | 1288447 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
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.
