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EE

Eric T. Emmert

BCW SECURITIES LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 5022322
EE

Professional summary

Eric Todd Emmert is a registered financial professional currently at BCW SECURITIES LLC located in Westport, Connecticut.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2005. Eric has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Todd Emmert'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

November 27, 2014 - Present

BCW SECURITIES LLC

Office #1: 55 Post Road West, Suite 200, Westport, CT 06880Office #2: 55 Post Road West, Suite 200, Westport, CT 06880
BD
CRD#: 144930
Westport, CT
Past

April 21, 2011 - March 31, 2014

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

September 30, 2005 - March 7, 2006

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT

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
Connecticut
(11/27/2014)
RR
New York
(11/27/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 5/2/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BCW SECURITIES LLC
BCW SECURITIES LLC

CRD#: 144930 / SEC#: , 8-67685

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
55 Post Road West, Suite 200, Westport, CT 06880
Mailing Address
55 Post Road West, Suite 200, Westport, CT 06880
Phone number
(203) 983-3350
Established
Delaware since 05/24/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIVERSIDE MANAGEMENT GROUP LLC100% DIRECT OWNER
BERNEGGER, MARK ANGELOCEO/CCO/GSP4957208
CARPENTER, DAVID JAMESGENERAL SECURITIES PRINCIPAL
VIGLIAROLO, JOSEPH CHARLESFINOP4880434

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.

Company Information

BCW SECURITIES LLC

CRD#: 144930Westport, CT 06880

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