Eric A. Norberg

EAN EQUITY FINANCIAL SERVICES LLC

Leesburg, VA

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CRD#: 1220324

Professional summary

Eric Anthony Norberg, CFP® is a registered financial advisor currently at EAN EQUITY FINANCIAL SERVICES LLC located in Leesburg, Virginia.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Eric has worked at 6 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

EAN EQUITY FINANCIAL SERVICES LLC 18310 FAIRWAY OAKS SQUARE, LEESBURG, VA 20176 OWNER 1/20/2000-PRESENT INVESTMENT RELATED FULL TIME. ALSO CPA TAX PREP, SMALL LIFE INS SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Anthony Norberg'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

June 4, 2014 - Present

EAN EQUITY FINANCIAL SERVICES LLC

RIA

CRD#: 117064

Leesburg, VA

Past

October 11, 2016 - September 19, 2017

PKS INVESTMENT ADVISORS LLC

RIA

CRD#: 110147

Lewes, DE

Past

July 22, 2010 - February 18, 2011

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

MILLERSVILLE, MD

Past

February 15, 2002 - April 21, 2003

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

February 2, 1996 - March 22, 2000

MASON SECURITIES, INC.

CRD#: 12967

RESTON, VA

Past

September 9, 1987 - December 31, 1990

MONTGOMERY EQUITIES, INC.

CRD#: 13309

Past

June 11, 1985 - September 24, 1987

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

Past

August 21, 1984 - June 17, 1985

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EAN EQUITY FINANCIAL SERVICES LLC

EAN EQUITY FINANCIAL SERVICES LLC | PKS & COMPANY, P.A.

CRD#: 117064 / SEC#: 801-118479

RIA

Registered Investment Advisory firm - (4/21/2020 Approved)

Delaware

Registered Investment Advisory firm - (4/29/2020 Terminated)

Maryland

Registered Investment Advisory firm - (4/30/2020 Terminated)

Virginia

Registered Investment Advisory firm - (4/27/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(6/4/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/17/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/8/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/2010

General Securities Representative Examination

Current Firm

EAN EQUITY FINANCIAL SERVICES LLC

EAN EQUITY FINANCIAL SERVICES LLC | PKS & COMPANY, P.A.

CRD#: 117064 / SEC#: 801-118479

RIA

Registered Investment Advisory firm - (4/21/2020 Approved)

Delaware

Registered Investment Advisory firm - (4/29/2020 Terminated)

Maryland

Registered Investment Advisory firm - (4/30/2020 Terminated)

Virginia

Registered Investment Advisory firm - (4/27/2020 Terminated)

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Contact information

Main Address

Leesburg, VA

Mailing Address

Phone number

(410) 340-4973

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAN EQUITY FINANCIAL SERVICES LLC (3/31/2025)

EAN EQUITY FINANCIAL SERVICES BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	294
AUM (Assets Under Management)	$ 144,527,546

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.

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Eric A. Norberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Anthony Norberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

PKS INVESTMENT ADVISORS LLC

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

MASON SECURITIES, INC.

MONTGOMERY EQUITIES, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

INVESTORS SECURITY COMPANY, INC.

Primary Firm SEC Registration

EAN EQUITY FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/2010

Series 65

Date: 9/8/1995

Series 7

Date: 7/21/2010

Current Firm

EAN EQUITY FINANCIAL SERVICES LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EAN EQUITY FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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