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Eric A. Diton
THE WEALTH ALLIANCE | President
Boca Raton, FL 33487
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CRD#: 1437621
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Professional summary
Eric Andrew Diton, CIMA® is a registered financial advisor currently at THE WEALTH ALLIANCE, LLC located in Boca Raton, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in Boca Raton, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Eric has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
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.
1) THE WEALTH ALLIANCE, LLC. Investment Related. 6501 Congress Ave, Suite 100, Boca Raton FL 33487 and 3435 Windsor Place, Boca Raton FL 33496. RIA. President/Managing Director/Financial Advisors. Start 8/2019. 160 HRS/MO DEVOTED - 130 DURING TRADING. DUTIES ARE OVERSEEING OPERATIONS OF BUSINESS, RESPONSIBLE FOR BRINGING ON ADDITIONAL CLIENTS & ADVISORS. WILL COORDINATE THE MANAGEMENT AND INVESTMENT STRATEGIES OF CLIENTS' FINANCIAL AFFAIRS 2) BKA Financial. Investment Related. 24 West Water Street, Suite 200, Elmira NY 14901. Insurance. Agent. Start 01/2020. 2 hours per month during trading. Insurance agent. 3 )SONGS OF LOVE FOUNDATION. NON-INVESTMENT RELATED BUSINESS. LOCATED AT P.O. BOX 750809, FOREST HILLS, NY 11375. NATURE OF BUSINESS - CHARITABLE FOUNDATION. TITLE IS TO PLAN AND ORGANIZE ANNUAL GOLF OUTING. STARTED IN 2012. 3 HRS/MO DEVOTED - 0 DURING TRADING. DUTIES ARE TO HELP PLAN AND ORGANIZE THE ANNUAL GOLF OUTING. 4) E-Ditty Financial LLC 3435 Windsor Pl Boca Raton FL 33496. Holding Company. Owner. Investment related. Pass through entity for tax purposes. Member of LLC, oversee daily operations of the business as it pertains to activity being recorded for tax purposes. Start 6/1/2022 s hours/0 during trading. 5) Wealth Alliance Holdings LLC 105 Broadhollow Rd, Melville NY 11747. Holding Company. Indirect Owner through E-Ditty Financial LLC. I'm an indirect member of the LLC. I oversee the daily operations of the business as it pertains to activity being recorded for tax purposes. Start 6/1/2022 2 hours/0 during trading. 6) Ash Brokerage, 888 S. Harris St, Ste 900, Fort Wayne IN, 46802, Insurance Agency, Agent, sell/offer insurance, 1 hour/1 trading hour a month, start date 10/2019. 7) PKS Financial, 80 State St, Albany NY 122207, Insurance Agency, Agent, Sell or offer insurance, 1 hour/1 trading hour per month, start date 10/2019. 8) Southwest Annuities; 2650 McCormic Dr, ste 200S, Clearwater, FL, 22759; Insurance Agency; Agent; Sell/offer insurance; 1 hour/1 trading hour a month' 12/1/2022 9) Guardian Life. Investment Related. At registered location. Insurance. Agent. 7/5/2024. Hrs/month 1 all during trading hours. Agent 10) Fixed Insurance. Investment Related. At Registered Location. Fixed/ Traditional Insurance. Agent. Start Date: 09/09/24. 2 hrs/ month; all during trading hours. Provide advice to clients
CRS (Client Relationship Summary) - RIA
Click below to view Eric Andrew Diton's 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®
Experience
Current
January 2, 2020 - Present
THE WEALTH ALLIANCE, LLC
Office #1: 6501 Congress Avenue Suite 100, Boca Raton, FL 33487RIA
CRD#: 305052
Boca Raton, FL
Current
August 30, 2019 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 6501 Congress Ave. Ste. 100, Boca Raton, FL 33487BD
CRD#: 35747
Boca Raton, FL
Past
November 18, 2013 - August 26, 2019
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
June 1, 2009 - December 31, 2011
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
June 1, 2009 - August 26, 2019
MORGAN STANLEY
BD
CRD#: 149777
BOCA RATON, FL
Past
February 13, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
MELVILLE, NY
Past
February 13, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MELVILLE, NY
Past
September 12, 2006 - March 3, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MELVILLE, NY
Past
August 24, 1994 - March 3, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELVILLE, NY
Past
June 12, 1992 - August 18, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
December 13, 1988 - June 15, 1992
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
December 5, 1985 - December 20, 1988
EQUITABLE SECURITIES OF NEW YORK,INC.
BD
CRD#: 14583
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".
TW
THE WEALTH ALLIANCE, LLC
LINKS WEALTH PARTNERS LLC | THE WEALTH ALLIANCE, LLC
CRD#: 305052 / SEC#: 801-117251
RIA
Registered Investment Advisory firm - (8/26/2019 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/30/2019)
RR
California(8/30/2019)
RR
Connecticut(9/23/2019)
RR
Florida(8/30/2019)
IAR
Florida(1/2/2020)
RR
Maryland(8/30/2019)
RR
Massachusetts(8/30/2019)
RR
Nevada(1/3/2020)
RR
New Jersey(8/30/2019)
RR
New York(8/30/2019)
IAR
New York(8/30/2021)
RR
North Carolina(9/23/2019)
RR
Pennsylvania(8/30/2019)
RR
South Carolina(12/15/2021)
RR
Tennessee(3/8/2023)
IAR
Texas(5/5/2020)
RR
Vermont(1/2/2020)
RR
Virginia(8/30/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TW
THE WEALTH ALLIANCE, LLC
LINKS WEALTH PARTNERS LLC | THE WEALTH ALLIANCE, LLC
CRD#: 305052 / SEC#: 801-117251
RIA
Registered Investment Advisory firm - (8/26/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
105 Broadhollow Road, Melville, NY 11747
Mailing Address
Phone number
(631) 670-0682
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,315 |
| AUM (Assets Under Management) | $ 1,908,079,716 |
Red Flags
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Company Information
THE WEALTH ALLIANCE, LLC
PresidentCRD#: 305052Boca Raton, FL 33487TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
