ES
Eric A. Sands
ST. BERNARD FINANCIAL SERVICES
Ft. Lauderdale, FL 33309
Some features on this profile are disabled
CRD#: 1802844
ES
Professional summary
Eric Alan Sands, who also goes by Eric Sands, is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Ft. Lauderdale, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Eric has worked at 13 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Sands
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) Awesome Construction; Non-Investment related, 3766 NW 124th Avenue, Coral Springs, FL, 33065; Board Member; 6/2001; 10hrs; 0hrs; Attendingand Participates in board meetings 2) Eric Sands Consulting Services; Non-Investment related; 6750 N Andrews Avenue, Suite 200, Fort Lauderdale,FL, 33309; Accounting; Chief Executive Officer; 8/12/2015; 10hrs; 0hrs; Management Consulting 3) Sands Financial Services; Investment-related;Investment Advisory Services and Insurance; Investment related;6750 North Andrews Ave, Ste 200, Fort Lauderdale, FL, 33309; Other; Other; 10/2015;120hrs; 100hrs; d/b/a name for Investment Advisory Services and Insurance 4) Insurance Sales; Investment-related: Fort Lauderdale, FL; Agent; Startdate: 2015; approximately 80 hrs/mo during trading hours; sales of various insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Alan Sands's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Alan Sands'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®
NoneExperience
Current
November 30, 2023 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 6756 No. Andrews Ave Suite 200, Ft. Lauderdale, FL 33309Office #2: 6750 N Andrews Ave Suite 200, Ft Lauderdale, FL 33309RIA
BD
CRD#: 36956
Ft. Lauderdale, FL
Current
November 15, 2023 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 6756 No. Andrews Ave Suite 200, Ft. Lauderdale, FL 33309RIA
BD
CRD#: 36956
Ft. Lauderdale, FL
Past
February 1, 2023 - June 6, 2023
IMPACT PARTNERSHIP WEALTH, LLC
RIA
CRD#: 313928
FORT LAUDERDALE, FL
Past
September 19, 2014 - January 17, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
FORT LAUDERDALE, FL
Past
August 29, 2014 - January 17, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Fort Lauderdale, FL
Past
October 23, 2012 - September 4, 2014
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
FORT LAUDERDALE, FL
Past
October 19, 2012 - September 4, 2014
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
FORT LAUDERDALE, FL
Past
November 4, 2011 - October 19, 2012
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
FORT LAUNDERDALE, FL
Past
November 2, 2011 - October 19, 2012
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
FORT LAUNDERDALE, FL
Past
December 23, 2010 - October 27, 2011
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
FT LAUDERDALE, FL
Past
December 13, 2010 - October 27, 2011
INVESTACORP, INC.
BD
CRD#: 7684
FORT LAUDERDALE, FL
Past
June 16, 2010 - December 23, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
BOCA RATON, FL
Past
May 24, 2010 - December 23, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
BOCA RATON, FL
Past
January 13, 2005 - May 27, 2010
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BOCA RATON, FL
Past
June 6, 2001 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
FORT LAUDERDALE, FL
Past
May 1, 2001 - May 27, 2010
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
BOCA RATON, FL
Past
August 4, 2000 - May 15, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
Florida(11/30/2023)
IAR
Florida(11/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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.
Company Information
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956Ft. Lauderdale, FL 33309TRUST BUT VERIFY
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