Eugene K. Ehmann
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.
Eugene Kevin Ehmann, who also goes by Gene Ehmann, Eugene Rotureau, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1980. Eugene had worked at 5 firms and has passed the Series 63 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
May 10, 1989 - August 5, 1994
J.C. BRADFORD & CO.
October 14, 1988 - May 16, 1989
WACHOVIA SECURITIES, INC.
June 5, 1986 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
September 15, 1983 - June 12, 1986
FIRST UNION CAPITAL MARKETS CORP.
March 18, 1980 - September 14, 1983
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.C. BRADFORD & CO.
CRD#: 1287 / SEC#: , 8-3953
Contact information
Documents
Disclosures
| Regulatory Event | 35 |
| Civil Event | 2 |
| Arbitration | 7 |
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.
