Eric J. Frankel

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CRD#: 5906633

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 Joel Frankel was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 2011. Eric had worked at 5 firms and has passed the Series 66, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 1, 2022 - January 30, 2023

LIGHT CAPITAL LLC

RIA

CRD#: 323373

SANTA MONICA, CA

Past

June 15, 2022 - November 18, 2022

VALIDUS CAPITAL LLC

RIA

CRD#: 319212

EL SEGUNDO, CA

Past

January 4, 2022 - June 13, 2022

CERTUITY, LLC

RIA

CRD#: 129505

NORTH PALM BEACH, FL

Past

December 16, 2014 - February 18, 2021

GREEN STREET

RIA

CRD#: 172378

NEWPORT BEACH, CA

Past

April 25, 2011 - December 15, 2014

GREEN STREET TRADING, LLC

CRD#: 28937

NEWPORT BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIGHT CAPITAL LLC

CRD#: 323373 / SEC#: 801-126710

RIA

Registered Investment Advisory firm - (2/16/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/13/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/15/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 7/8/2011

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/20/2011

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 4/22/2011

General Securities Representative Examination

Current Firm

LIGHT CAPITAL LLC

CRD#: 323373 / SEC#: 801-126710

RIA

Registered Investment Advisory firm - (2/16/2023 Approved)

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Contact information

Main Address

520 Broadway 2nd Floor, Santa Monica, CA, 90401

Mailing Address

Phone number

(424) 625-2065

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIGHT CAP BROCHURE 2024.12.31 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	151
AUM (Assets Under Management)	$ 114,535,643

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.

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Advisor Monitoring

Firm Stability Insights

Eric J. Frankel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALIDUS CAPITAL LLC

CERTUITY, LLC

GREEN STREET

GREEN STREET TRADING, LLC

Primary Firm SEC Registration

LIGHT CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/13/2011

SIE

Date: 12/15/2014

Series 87

Date: 7/8/2011

Series 86

Date: 6/20/2011

Series 7

Date: 4/22/2011

Current Firm

LIGHT CAPITAL LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIGHT CAPITAL LLC

TRUST BUT VERIFY

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