ES
Eric W. Stockland
CLEARPOOL EXECUTION SERVICES
New York, NY 10004
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CRD#: 5572663
ES
Professional summary
Eric Wayne Stockland is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York and BMO CAPITAL MARKETS CORP. located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2008. Eric has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Eric Wayne Stockland's 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®
NoneExperience
Current
November 2, 2020 - Present
CLEARPOOL EXECUTION SERVICES, LLC
Office #1: 17 State Street 38th Floor, New York, NY, 10004BD
CRD#: 168490
New York, NY
Current
November 4, 2020 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036BD
CRD#: 16686
New York, NY
Past
July 25, 2016 - November 16, 2020
IEX SERVICES LLC
BD
CRD#: 167872
NEW YORK, NY
Past
December 26, 2013 - July 11, 2016
VIRTU AMERICAS LLC
BD
CRD#: 149823
CHICAGO, IL
Past
June 14, 2012 - May 8, 2013
GETCO SECURITIES, LLC
BD
CRD#: 151233
CHICAGO, IL
Past
August 1, 2008 - June 11, 2014
OCTEG, LLC
BD
CRD#: 117429
CHICAGO, IL
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
Alabama(12/2/2020)
RR
Alaska(12/21/2020)
RR
Arizona(12/2/2020)
RR
Arkansas(12/3/2020)
RR
California(11/5/2020)
RR
Colorado(3/22/2021)
RR
Connecticut(11/5/2020)
RR
Delaware(12/3/2020)
RR
District of Columbia(11/6/2020)
RR
Florida(11/5/2020)
RR
Georgia(11/5/2020)
RR
Hawaii(12/2/2020)
RR
Idaho(11/6/2020)
RR
Illinois(11/4/2020)
RR
Indiana(11/23/2020)
RR
Iowa(11/12/2020)
RR
Kansas(11/6/2020)
RR
Kentucky(12/2/2020)
RR
Louisiana(12/4/2020)
RR
Maine(11/5/2020)
RR
Maryland(11/5/2020)
RR
Massachusetts(12/2/2020)
RR
Michigan(3/15/2021)
RR
Minnesota(12/8/2020)
RR
Mississippi(11/5/2020)
RR
Missouri(11/13/2020)
RR
Montana(11/6/2020)
RR
Nebraska(11/6/2020)
RR
New Hampshire(11/5/2020)
RR
New Jersey(11/6/2020)
RR
New Mexico(12/4/2020)
RR
New York(11/4/2020)
RR
North Carolina(10/11/2022)
RR
North Dakota(12/24/2020)
RR
Ohio(11/5/2020)
RR
Oklahoma(12/3/2020)
RR
Oregon(11/6/2020)
RR
Pennsylvania(11/5/2020)
RR
Rhode Island(11/5/2020)
RR
South Carolina(11/8/2020)
RR
South Dakota(12/3/2020)
RR
Tennessee(11/10/2020)
RR
Texas(12/4/2020)
RR
Utah(11/5/2020)
RR
Vermont(12/2/2020)
RR
Virginia(12/3/2020)
RR
Washington(12/3/2020)
RR
West Virginia(12/8/2020)
RR
Wisconsin(11/5/2020)
RR
Wyoming(11/6/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/11/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 702-1101
Established
Delaware since 03/28/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,275
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 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.
