Eric M. Stein
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 Madison Stein was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1985. Eric had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 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
August 27, 2013 - April 20, 2015
BNY MELLON SECURITIES CORPORATION
May 21, 2012 - May 24, 2013
BB&T INVESTMENT SERVICES, INC.
May 10, 2012 - May 24, 2013
BB&T INVESTMENT SERVICES, INC.
January 23, 2006 - April 24, 2012
TRUIST INVESTMENT SERVICES, INC.
December 21, 2005 - April 24, 2012
TRUIST INVESTMENT SERVICES, INC.
September 9, 2002 - December 5, 2005
CITIGROUP GLOBAL MARKETS INC.
September 6, 2002 - December 5, 2005
CITIGROUP GLOBAL MARKETS INC.
November 16, 1995 - September 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 1995 - September 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 1990 - October 26, 1995
GRIFFIN FINANCIAL SERVICES
April 15, 1988 - April 17, 1990
CAL FED INVESTMENTS
August 12, 1987 - April 22, 1988
CAPITAL BROKERAGE CORPORATION
October 4, 1985 - May 5, 1987
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
