Eric C. Palmblad
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 Charles Palmblad was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1976. Eric had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2015 - December 31, 2022
NTB FINANCIAL CORPORATION
July 26, 2010 - July 28, 2015
DYNASTY CAPITAL PARTNERS, INC.
September 30, 2002 - August 5, 2010
J.P. TURNER & COMPANY, L.L.C.
March 28, 2002 - September 30, 2002
SCHNEIDER SECURITIES, INC.
August 21, 1989 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
May 25, 1979 - August 30, 1989
WALL STREET WEST, INC.
August 31, 1978 - July 1, 1980
CITISTREET EQUITIES LLC
May 5, 1978 - May 30, 1979
DAIN RAUSCHER INCORPORATED
January 28, 1976 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
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
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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