Ethan Z. Einwohner
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.
Ethan Z Einwohner was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2005. Ethan had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2015 - August 19, 2015
ARDOUR CAPITAL INVESTMENTS, LLC
March 13, 2012 - March 12, 2013
CATO CAPITAL, LLC
December 8, 2009 - February 6, 2012
GAR WOOD SECURITIES, LLC
August 21, 2009 - January 3, 2011
VCG SECURITIES, LLC
September 27, 2007 - January 31, 2008
JONESTRADING
September 8, 2005 - September 12, 2007
CANTOR FITZGERALD & CO.
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
Series 55
Date: 12/17/2007
Limited Representative-Equity Trader ExamCurrent Firm
ARDOUR CAPITAL INVESTMENTS, LLC
CRD#: 120574 / SEC#: , 8-65317
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
