Eric E. Sarvas
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 E Sarvas, who also goes by Eric Earl Sarvas, Eric Sarvas, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2015. Eric had worked at 2 firms and has passed the SIE, Series 57 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - June 26, 2017
ANDRIE TRADING LLC
February 2, 2015 - August 27, 2015
LIQUID CAPITAL MARKETS, LLC
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 56
Date: 2/1/2015
Proprietary Trader Qualification ExaminationCurrent Firm
ANDRIE TRADING LLC
CRD#: 101500 / SEC#: , 8-52082
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDRIE HOLDINGS, LLC | PARENT COMPANY | |
| ANDRIE, JOHN ERIC | CHIEF COMPLIANCE OFFICER | 3230583 |
Disclosures
| Regulatory Event | 7 |
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.
