Erik P. Pica
Professional summary
Erik Patrick Pica was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erik is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Erik had worked at 5 firms, which includes JOSEPH STONE CAPITAL L.L.C., GLOBAL ARENA CAPITAL CORP, FIRST MIDWEST SECURITIES INC., CHICAGO INVESTMENT GROUP LLC, EASTBROOK CAPITAL GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2015 - November 7, 2019
JOSEPH STONE CAPITAL L.L.C.
January 18, 2012 - April 28, 2015
GLOBAL ARENA CAPITAL CORP
August 18, 2009 - February 7, 2012
FIRST MIDWEST SECURITIES, INC.
September 29, 2008 - August 18, 2009
CHICAGO INVESTMENT GROUP, LLC
October 4, 2004 - October 11, 2008
EASTBROOK CAPITAL GROUP LLC
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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