Ernest Gozenput
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.
Ernest Gozenput, who also goes by Eric Gozenput, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 2008. Ernest had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2012 - September 19, 2012
QUAD CAPITAL, LLC
August 23, 2011 - December 21, 2011
DIMENSION TRADING GROUP, LLC
January 9, 2010 - July 19, 2011
VTRADER PRO, LLC
November 6, 2009 - December 9, 2009
ALPINE SECURITIES USVI, LLC
October 2, 2008 - June 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2008 - June 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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