Eric L. Baldwin
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 Lee Baldwin was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1983. Eric had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 22, Series 24, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2013 - December 26, 2023
SYMETRA SECURITIES, INC.
May 21, 2008 - October 2, 2013
SIGNATOR FINANCIAL SERVICES, INC.
May 16, 2008 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
March 19, 2007 - November 30, 2007
DIRECTED SERVICES LLC
February 13, 2006 - October 31, 2006
KEY INVESTMENT SERVICES LLC
February 10, 2006 - October 31, 2006
KEY INVESTMENT SERVICES LLC
July 11, 2005 - December 9, 2005
NATCITY INVESTMENTS, INC.
May 20, 2005 - December 9, 2005
NATCITY INVESTMENTS, INC.
October 4, 2002 - March 9, 2005
EVERLAKE DISTRIBUTORS, LLC
January 11, 2002 - October 4, 2002
AFD, INC.
February 15, 2000 - January 4, 2002
SAGE DISTRIBUTORS, INC.
May 20, 1997 - November 22, 1999
COMPULIFE INVESTOR SERVICES, INC.
May 1, 1996 - May 1, 1997
M&I FINANCIAL ADVISORS, INC
October 4, 1991 - February 1, 1996
COMPULIFE INVESTOR SERVICES, INC.
August 1, 1991 - September 19, 1991
IFMG SECURITIES, INC.
December 22, 1986 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
October 25, 1985 - October 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 1983 - November 5, 1985
THOMSON MCKINNON SECURITIES INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
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.
