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CE

Clement A. Erbmann

FIRST ANALYSIS SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 819889
CE

Professional summary

Clement Abraham Erbmann is a registered financial professional currently at FIRST ANALYSIS SECURITIES CORPORATION located in Chicago, Illinois.

Clement is registered as a RR (Registered Representative) and started their career in finance in 1976. Clement has worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 3, PC, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Clement Abraham Erbmann's CRS (Customer Relationship Summary).
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

September 13, 1989 - Present

FIRST ANALYSIS SECURITIES CORPORATION

Office #1: One South Wacker Drive Suite 3900, Chicago, IL 60606
BD
CRD#: 10446
Chicago, IL
Past

April 25, 1986 - September 14, 1989

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 28, 1981 - April 15, 1986

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

April 26, 1977 - December 10, 1983

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

March 25, 1976 - October 10, 1981

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

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
California
(4/11/2002)
RR
Florida
(5/16/2000)
RR
Illinois
(9/21/1989)
RR
Indiana
(6/26/2003)
RR
Michigan
(5/12/2000)
RR
Minnesota
(6/20/2003)
RR
New York
(9/2/2000)
RR
Texas
(5/12/2000)
RR
Wisconsin
(8/25/2003)

Exams

State Security Law Exam
RR
Series 63
Date: 9/10/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/16/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
PC
Date: 3/20/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 3/20/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/1991
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/20/1989
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FA
FIRST ANALYSIS SECURITIES CORPORATION
FIRST ANALYSIS | FIRST ANALYSIS SECURITIES CORPORATION

CRD#: 10446 / SEC#: , 8-27350

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

Main Address
One South Wacker Drive Suite 3900, Chicago, IL 60606
Mailing Address
One South Wacker Drive Suite 3900, Chicago, IL 60606
Phone number
(312) 258-1400
Established
Illinois since 01/27/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIRST ANALYSIS CORPORATIONPARENT COMPANY
HESS, DAVID CLARENCECHIEF COMPLIANCE OFFICER2187717
KHAN, RIAAD SYEDCHIEF FINANCIAL OFFICER / FINOP6759962
LESHUK, DAVID JOHNDIRECTOR2935779
NICKLIN, FRANCIS OLIVER JRCEO, MANAGING DIRECTOR & PRESIDENT347877
NICKLIN, MATTHEW OLIVERMANAGING DIRECTOR4216136

Disclosures

Regulatory Event3

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

FIRST ANALYSIS SECURITIES CORPORATION

CRD#: 10446Chicago, IL 60606

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