Eric B. Schweitzer

WALLACHBETH CAPITAL LLC

Boca Raton, FL 33431

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CRD#: 1036891

Professional summary

Eric Bruce Schweitzer is a registered financial professional currently at WALLACHBETH CAPITAL LLC located in Boca Raton, Florida.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1984. Eric has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Eric Bruce Schweitzer'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

October 9, 2020 - Present

WALLACHBETH CAPITAL LLC

Office #1: 1001 Yamato Road, Suite 404, Boca Raton, FL 33431

CRD#: 147853

Boca Raton, FL

Past

May 6, 2019 - October 6, 2020

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606

NEW YORK, NY

Past

July 26, 2006 - April 30, 2019

LAMPERT CAPITAL MARKETS INC.

CRD#: 103725

NEW YORK, NY

Past

January 2, 2003 - August 9, 2004

VANDHAM SECURITIES CORP.

CRD#: 26258

PARK RIDGE, NJ

Past

May 22, 1984 - January 30, 2003

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

State Registrations and Notice Filings

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

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

Florida
(9/21/2023)

New Jersey
(10/9/2020)

New York
(10/9/2020)

Exams

State Security Law Exam

Series 63

Date: 6/27/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/24/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/1988

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

1001 Yamato Rd. Suite 404, Boca Raton, FL 33431

Mailing Address

1001 Yamato Rd. Suite 404, Boca Raton, FL 33431

Phone number

(646) 237-8585

Established

New York since 05/05/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WALLACHBETH HOLDINGS LLC	95% OWNER
SAGO MANAGEMENT, LLC	5% OWNER
BETH, DAVID JAY	COO/PRESIDENT/ MANAGING MEMBER	2470494
OH, SEUNG CHEOL	CFO, FNOP	4632040
SCHWEITZER, ERIC BRUCE	CHIEF COMPLIANCE OFFICER	1036891
WALLACH, MICHAEL CONRAD	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	2376092

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Eric B. Schweitzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Bruce Schweitzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICE FINANCIAL PRODUCTS COMPANY

LAMPERT CAPITAL MARKETS INC.

VANDHAM SECURITIES CORP.

UBS CAPITAL MARKETS L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1985

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/24/1999

Series 7

Date: 5/19/1984

Series 14

Date: 1/2/2023

Series 24

Date: 9/9/1988

FINRA

Nasdaq Stock Market

Current Firm

WALLACHBETH CAPITAL LLC

Contact information

FINRA licenses (44 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WALLACHBETH CAPITAL LLC

TRUST BUT VERIFY

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