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EL

Eric M. Levine

OPENYIELD TRADING LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 7285963
EL

Professional summary

Eric Michael Levine, who also goes by Eric Levine, is a registered financial professional currently at OPENYIELD TRADING LLC located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2020. Eric has worked at 2 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Levine

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 Michael Levine's 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

October 14, 2024 - Present

OPENYIELD TRADING LLC

Office #1: 205 East 42nd St Suite 1935, New York, NY 10017
BD
CRD#: 326199
NEW YORK, NY
Past

September 3, 2020 - October 15, 2024

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/14/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2020
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/3/2020
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/13/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/26/2024
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OT
OPENYIELD TRADING LLC
OPENYIELD TRADING LLC

CRD#: 326199 / SEC#: , 8-71081

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

Main Address
205 East 42nd St Suite 1935, New York, NY 10017
Mailing Address
205 East 42nd St Suite 1935, New York, NY 10017
Phone number
(908) 409-3542
Established
Delaware since 03/10/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OPENYIELD INC.SOLE MEMBER OF LLC AND PARENT COMPANY
BIRNBAUM, JONATHAN ADAMCEO, PRESIDENT AND MANAGING PRINCIPAL5350316
CARTER, ANA RFINOP AND CHIEF FINANCIAL OFFICER4424794
SHPETNER, THOMAS DANIELGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4487619

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

OPENYIELD TRADING LLC

CRD#: 326199New York, NY 10017

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