Eric C. Dahl
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 C Dahl was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1978. Eric had worked at 11 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 1993 - December 31, 2000
CARILLON INVESTMENTS, INC.
May 4, 1992 - December 31, 1992
WORLD INVEST CORPORATION
October 6, 1989 - October 8, 1991
WORLD INVEST CORPORATION
February 17, 1989 - October 4, 1989
CAPITAL BROKERAGE CORPORATION
April 15, 1988 - March 2, 1989
WORLD INVEST CORPORATION
April 7, 1987 - October 16, 1987
PLANMEMBER SECURITIES CORPORATION
August 19, 1986 - January 19, 1987
PLANVEST CAPITAL CORPORATION
August 30, 1982 - August 5, 1986
FOOTHILL SECURITIES, INC.
November 7, 1981 - August 18, 1982
BIRR, WILSON & CO., INC.
April 16, 1981 - October 6, 1983
BENEFIT PLAN SECURITIES, INC.
February 5, 1980 - November 6, 1981
RAY ESPOSITO & ASSOCIATES, INC.
February 12, 1979 - March 8, 1984
PLANNED INVESTMENTS INC.
August 9, 1978 - March 10, 1979
DAVE FRIES AND ASSOCIATES
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
Series 1
Date: 8/3/1978
Registered Representative ExaminationCurrent Firm
CARILLON INVESTMENTS, INC.
CRD#: 14646 / SEC#: , 8-31002
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE UNION CENTRAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| ELLIOTT, JENNIFER ANN | ASSISTANT VICE PRESIDENT, OPERATIONS | 4181299 |
| FELDMAN, JOHN ROBERT | ASSISTANT VICE PRESIDENT, SROP | 2139396 |
| GROSSER, CONNIE SUE | VICE PRESIDENT, SROP, FINOP PRINCIPAL, MUNI PRINCIPAL, TREASURER | 1998135 |
| HITCHCOCKGEAR, SALENE MARIE | PRESIDENT | 2590328 |
| HUFFMAN, GARY THOMAS | DIRECTOR | 1032890 |
| LABMEIER, JOHN FRANCIS | VICE PRESIDENT AND SECRETARY | 1229012 |
| LUCAS, JOHN MICHAEL | ASSISTANT SECRETARY | 2099377 |
| MACKENDRICK, MELISSA ANN | ASSISTANT TREASURER | 3236420 |
| OTOOLE, KEVIN WILLIAM | VICE PRESIDENT | 1218438 |
| STARKEY, AMY DANNIS | ASSISTANT VICE PRESIDENT, CROP AND CHIEF COMPLIANCE OFFICER | 2469045 |
| SUTERMEISTER, STEVEN ROBERT | DIRECTOR | 846329 |
| VANERP, ANDREW JAMES | VICE PRESIDENT, MARKETING & SALES | 2643069 |
Disclosures
| Arbitration | 1 |
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.
