Eric J. Weissgarber
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 John Weissgarber, who also goes by Eric Weissgarber, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2001. Eric had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2013 - July 29, 2021
SPC
September 3, 2013 - July 29, 2021
SIGMA FINANCIAL CORPORATION
October 17, 2011 - August 30, 2013
ALAMO ASSET ADVISORS
September 16, 2011 - August 2, 2013
WFG INVESTMENTS, INC.
January 31, 2002 - September 27, 2011
RBC CAPITAL MARKETS, LLC
August 16, 2001 - September 27, 2011
RBC CAPITAL MARKETS, LLC
April 20, 2001 - July 20, 2001
UNIFIED FINANCIAL SECURITIES, LLC
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
