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ER

Eric J. Rustad

SIGULER GUFF GLOBAL MARKETS
NEW YORK, NY 10166
Some features on this profile are disabled
CRD#: 6199916
ER

Professional summary

Eric James Rustad is a registered financial professional currently at SIGULER GUFF GLOBAL MARKETS, LLC located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2016. Eric has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric James Rustad's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 1, 2018 - Present

SIGULER GUFF GLOBAL MARKETS, LLC

Office #1: 200 Park Avenue 14th Floor, New York, NY, 10166
BD
CRD#: 159534
NEW YORK, NY
Past

September 12, 2016 - August 7, 2018

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
CHICAGO, IL

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/12/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SG
SIGULER GUFF GLOBAL MARKETS, LLC
SIGULER GUFF GLOBAL MARKETS, LLC

CRD#: 159534 / SEC#: , 8-68996

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
200 Park Avenue 14th Floor, New York, NY, 10166
Mailing Address
200 Park Avenue 14th Floor, New York, NY, 10166
Phone number
(212) 332-5100
Established
Delaware since 04/14/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIGULER GUFF & COMPANY, LPOWNER
BURNS, KENNETH JAMESCEO1637365
KRIEWALD, JESSICAFINOP7052634
PHILLIPS, MARCELO ALANCHIEF COMPLIANCE OFFICER5634707

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.

Company Information

SIGULER GUFF GLOBAL MARKETS, LLC

CRD#: 159534New York, NY 10166

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