Eric A. Courtney
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.
Eric Alan Courtney was a registered financial advisor .
Eric is a previously registered financial advisor and started their career in finance in 1968. Eric had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 5, Series 000, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2013 - October 31, 2013
BISHOP, ROSEN & CO., INC.
April 30, 2008 - November 30, 2011
CHATSWORTH SECURITIES LLC
November 14, 2005 - December 7, 2005
OPPENHEIMER & CO. INC.
March 1, 2005 - October 14, 2005
ELECTRONIC ACCESS DIRECT, INC.
June 27, 1994 - November 13, 1996
SBC WARBURG DILLON READ INC.
September 25, 1990 - June 29, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 1990 - July 30, 1990
FINANCIAL SQUARE PARTNERS
January 5, 1988 - July 10, 1989
ABN AMRO SECURITIES LLC
September 30, 1986 - August 15, 1987
CITIGROUP GLOBAL MARKETS INC.
July 18, 1985 - April 3, 1986
PRUDENTIAL EQUITY GROUP, LLC
May 27, 1980 - November 7, 1984
BECKER PARIBAS INCORPORATED
September 26, 1978 - June 16, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 3, 1972 - December 21, 1989
FAM DISTRIBUTORS, INC.
April 30, 1968 - September 30, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/15/1981
Interest Rate Options ExaminationSeries 000
Date: 4/26/1968
General Securities Principal ExaminationSeries 1
Date: 4/26/1968
Registered Representative ExaminationSeries 00
Date: 10/12/1972
General Securities Principal ExaminationCurrent Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
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.
