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Eric Tate Troseth

CRD# 728273·Registered 1981 - 1988
Barred: Eric Tate Troseth was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Eric Tate Troseth was a registered financial advisor. Eric was a previously registered financial professional and started their career in finance 1981 - 1988. Eric had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

45 years in the financial services industry

Current & Past Employments

RANDOLPH BROWN SECURITIES CORPORATION·CRD# 18338
BD
June 20, 1988 - July 18, 1988
MOMENTUM INDEPENDENT NETWORK INC.·CRD# 17587
BD
September 8, 1986 - October 23, 1987
PERSHING LLC·CRD# 7560
BD
April 5, 1983 - August 29, 1986
LEHMAN BROTHERS KUHN LOEB INCORPORATED·CRD# 7555
BD
May 24, 1982 - April 12, 1983
E. F. HUTTON & COMPANY INC·CRD# 235
BD
April 13, 1981 - June 18, 1982

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Current Firm

RB
RANDOLPH BROWN SECURITIES CORPORATION

MAYNARD MEREL & CO., INC. | RANDOLPH BROWN SECURITIES CORPORATION

CRD#: 18338 / SEC#: 8-36531
BD
Expelled by FINRA on 10/18/1989

Contact Information

Established

New York since 05/03/1985

Firm Type

Corporation

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1981About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1981About the Series 7 exam

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CRS (Client Relationship Summary)

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

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