Rooker Price
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.
Rooker Price, who also goes by Eric David Price, was a registered financial professional .
Rooker is a previously registered financial professional and started their career in finance in 2007. Rooker had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2020 - December 31, 2020
ARABESQUE ASSET MANAGEMENT LTD
June 21, 2019 - September 1, 2020
FORESIDE FUNDS DISTRIBUTORS LLC
March 14, 2017 - June 6, 2019
NED DAVIS RESEARCH, INC.
November 20, 2009 - December 31, 2015
F-SQUARED INVESTMENTS, INC
March 6, 2007 - January 27, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
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 7TO
Date: 10/25/2022
General Securities Representative ExaminationCurrent Firm
ARABESQUE ASSET MANAGEMENT LTD
CRD#: 282729 / SEC#: 801-107600
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 479,906,911 |
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.
