Eric T. Horowitz
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 Todd Horowitz was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2015. Eric had worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2017 - May 14, 2019
STEBEN & COMPANY, LLC
May 31, 2016 - August 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2016 - August 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2015 - December 22, 2015
MORGAN STANLEY
Primary Firm SEC Registration
STEBEN & COMPANY, LLC
CRD#: 117808 / SEC#: 801-64686, 8-53614
State Registrations and Notice Filings
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Exams
Current Firm
STEBEN & COMPANY, LLC
CRD#: 117808 / SEC#: 801-64686, 8-53614
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 108,117,452 |
Red Flags
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