AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
ER

Eric Hyman Rosenfield

CRD# 1712727·Registered 1987 - 2013
Previously Registered: Being a previously registered professional could mean that Eric 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.

Professional Summary

Eric Hyman Rosenfield was a registered financial advisor. Eric was a previously registered financial professional and started their career in finance 1987 - 2013. Eric had worked at 13 firms and has passed the Series 63, Series 65 and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

36 years in the financial services industry

Current & Past Employments

VCG SECURITIES, LLC·CRD# 149083
BD
Delray Beach, FL
January 25, 2010 - July 5, 2013
REKON ADVISORS LLC·CRD# 139312
RIA
Delray Beach, FL
July 27, 2006 - November 28, 2006
ALPHA STRATEGIC MANAGEMENT, LTD.·CRD# 47313
BD
Palm Beach Gardens, FL
August 7, 2002 - April 30, 2004
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
December 13, 2000 - April 10, 2002
AVM, L.P.·CRD# 16710
BD
Boca Raton, FL
January 2, 1998 - July 17, 2000
FIRST SOUTHWEST COMPANY, LLC·CRD# 316
BD
Dallas, TX
June 29, 1995 - November 25, 1997
ALEX. BROWN & SONS INCORPORATED·CRD# 20
BD
June 8, 1993 - May 5, 1995
GSC SECURITIES, INC.·CRD# 17013
BD
May 17, 1991 - June 9, 1993
GOVERNMENT SECURITIES CORPORATION·CRD# 19698
BD
May 17, 1991 - June 9, 1993
MARCUS, STOWELL & BEYE, INC.·CRD# 7038
BD
Fort Lauderdale, FL
November 1, 1989 - March 27, 1991
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.·CRD# 19184
BD
Fort Lauderdale, FL
November 1, 1989 - March 27, 1991
WESTCAP GOVERNMENT SECURITIES, INC.·CRD# 19645
BD
September 21, 1988 - October 27, 1989
WESTCAP SECURITIES, L.P.·CRD# 7301
BD
Houston, TX
September 12, 1988 - October 27, 1989
MARCUS, STOWELL & BEYE, INC.·CRD# 7038
BD
Fort Lauderdale, FL
December 22, 1987 - September 16, 1988
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.·CRD# 19184
BD
Fort Lauderdale, FL
July 25, 1987 - September 16, 1988

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

VS
VCG SECURITIES, LLC

VANTAGE CAPITAL GROUP SECURITIES | VCG SECURITIES, LLC

CRD#: 149083 / SEC#: 8-68104
BD
Terminated by SEC on 07/06/2013

Contact Information

Established

Florida since 03/11/2008

Firm Type

Limited Liability Company

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
VCG SECURITIES HOLDINGS INC.OWNER—
SADORF, RYAN PATRICKCFO/ FINOP3100656
UDERITZ, DONALD SCOTTPRESIDENT/CCO2616380

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2010About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2006About the Series 65 exam

Series 7 — General Securities Representative Examination

Passed Jan 2010About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

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

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
ER
Follow Eric
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required