Eric J. Wais
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 John Wais was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1986. Eric had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2014 - January 2, 2020
NAVION FINANCIAL ADVISORS, LLC
December 31, 1997 - July 1, 2014
LPL FINANCIAL LLC
March 8, 1991 - July 1, 2014
LPL FINANCIAL LLC
November 8, 1990 - March 11, 1991
FINANCIAL WEST GROUP
March 4, 1988 - October 23, 1989
FIRST IMPERIAL INVESTOR SERVICES, INC.
April 25, 1986 - October 14, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
NAVION FINANCIAL ADVISORS, LLC
CRD#: 147510 / SEC#:
Contact information
Red Flags
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