Eric J. Plugis
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 J Plugis was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2011. Eric had worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2011 - May 9, 2016
CCA CAPITAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CCA CAPITAL LLC
CRD#: 154837 / SEC#: , 8-68676
Contact information
FINRA licenses (26 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CCA GROUP, LLC | SOLE MEMBER | |
| PASQUALINI, MARTIN J | PRINCIPAL/DIRECTOR / VP | |
| STAHLE, JAMES RICHARD | CEO / CCO / DIR./PRINCIPAL | |
| WILSON, ROBERT (NMN) | CHIEF FINANCIAL OFFICER/FINOP | 6465354 |
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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