Erik E. Zwick

LUCID CAPITAL MARKETS

New York, NY 10006

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CRD#: 4992551

Professional summary

Erik Edward Zwick is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Erik is registered as a RR (Registered Representative) and started their career in finance in 2005. Erik has worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Edward Zwick's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 8, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006

CRD#: 140345

New York, NY

Past

July 20, 2022 - July 1, 2024

HOVDE GROUP, LLC

CRD#: 25425

INVERNESS, IL

Past

April 24, 2018 - November 30, 2018

BOENNING & SCATTERGOOD, INC.

RIA

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

April 24, 2018 - July 20, 2022

BOENNING & SCATTERGOOD, INC.

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

May 22, 2015 - February 28, 2018

STEPHENS

CRD#: 3496

Hockessin, DE

Past

April 2, 2015 - May 22, 2015

PIPER SANDLER & CO.

CRD#: 665

PHILADELPHIA, PA

Past

April 30, 2014 - April 6, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

WEST CONSHOHOCKEN, PA

Past

July 29, 2005 - April 17, 2014

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Delaware
(7/8/2024)

Exams

State Security Law Exam

Series 63

Date: 8/20/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 1/4/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/23/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 7/28/2005

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

CRD#: 140345 / SEC#: , 8-67305

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone number

(212) 306-2700

Established

New York since 06/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GI4 HOLDINGS, LLC	SOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.	CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL	1616912
SHAPIRO, ANDREW JAY	CHIEF COMPLIANCE OFFICER	1104658
TANIOS, FADY	CEO	4213894
YANNOTTI, ALEXANDER ANTHONY	FINANCIAL OPERATIONS PRINCIPAL	1333893

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Erik E. Zwick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Edward Zwick's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOVDE GROUP, LLC

BOENNING & SCATTERGOOD, INC.

BOENNING & SCATTERGOOD, INC.

STEPHENS

PIPER SANDLER & CO.

STERNE, AGEE & LEACH, INC.

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/2014

SIE

Date: 10/1/2018

Series 86

Date: 1/4/2006

Series 87

Date: 12/23/2005

Series 7

Date: 7/28/2005

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LUCID CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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