Eric C. Sowers

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CRD#: 1377887

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 Curtis Sowers was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1985. Eric had worked at 5 firms and has passed the Series 63 and Series 6 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 14, 2001 - September 30, 2002

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

PITTSBURGH, PA

Past

May 22, 2000 - August 10, 2001

CANTELLA & CO., INC.

CRD#: 13905

MALDEN, MA

Past

July 5, 1989 - December 11, 1998

HACKETT ASSOCIATES, INC.

CRD#: 2106

WYOMISSING, PA

Past

May 2, 1989 - July 6, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

June 21, 1985 - August 8, 1988

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

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".

ALLEGHENY INVESTMENTS, LTD.

ALLEGHENY INVESTMENTS | ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597 / SEC#: 801-57662, 8-22183

RIA

Registered Investment Advisory firm - SEC (6/2/2000 Approved)

Terminated by SEC on 03/15/2025

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/20/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALLEGHENY INVESTMENTS, LTD.

ALLEGHENY INVESTMENTS | ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597 / SEC#: 801-57662, 8-22183

RIA

Registered Investment Advisory firm - SEC (6/2/2000 Approved)

Terminated by SEC on 03/15/2025

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Contact information

Main Address

Stone Quarry Crossing 811 Camp Horne Road, Suite 100, Pittsburgh, PA 15237

Mailing Address

Phone number

(412) 367-3880

Established

Pennsylvania since 09/01/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 AI WRAP PROGRAM BROCHURE (4/1/2025)

2025 AI ADV PART 2 (4/1/2025)

Direct owners and executive officers

Name	Position	CRD#
HAWBAKER, STEPHEN TURNER	CCO	4752583

Regulatory assets under management

Total Number of Accounts	2,990
AUM (Assets Under Management)	$ 633,814,776

Disclosures

Regulatory Event	3
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/10/2025	Cover Page	Report
10/22/2024	Cover Page	Report
08/11/2023	Cover Page	Report
10/08/2022	Cover Page	Report

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 C. Sowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CANTELLA & CO., INC.

HACKETT ASSOCIATES, INC.

FSC SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

ALLEGHENY INVESTMENTS, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/2/1985

Series 6

Date: 6/20/1985

Current Firm

ALLEGHENY INVESTMENTS, LTD.

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ALLEGHENY INVESTMENTS, LTD.

TRUST BUT VERIFY

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