Eric L. Weinstein
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 Lawrence Weinstein was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1985. Eric had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2013 - November 12, 2018
TD PRIVATE CLIENT WEALTH LLC
October 21, 2010 - October 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2010 - August 17, 2010
A.G.P. / ALLIANCE GLOBAL PARTNERS
April 13, 2010 - July 9, 2010
AEGIS CAPITAL CORP.
June 1, 2009 - July 23, 2009
MORGAN STANLEY
May 17, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 18, 2005 - May 4, 2006
CITICORP INVESTMENT SERVICES
October 23, 1996 - May 4, 2006
CITICORP INVESTMENT SERVICES
August 24, 1992 - August 23, 1996
QUICK & REILLY, INC.
March 5, 1986 - August 3, 1992
CHARLES SCHWAB & CO., INC.
October 22, 1985 - December 21, 1985
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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 8
Date: 6/14/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
