Eric M. Thibault
Professional summary
Eric Martin Thibault is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Phoenix, Arizona.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1988. Eric has worked at 14 firms and has passed the Series 63, Series 42, Series 72, Series 99TO, Series 82TO, Series 62, Series 22TO, Series 6TO, Series 52TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Martin Thibault's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 19, 2024 - Present
CETERA WEALTH SERVICES, LLC
October 27, 2017 - May 2, 2023
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 13, 2008 - September 8, 2017
SLD AMERICA EQUITIES, INC.
April 14, 2008 - July 30, 2008
KESTRA INVESTMENT SERVICES, LLC
February 27, 2003 - April 11, 2008
SLD AMERICA EQUITIES, INC.
March 28, 2002 - September 7, 2006
CETERA ADVISORS LLC
November 13, 2000 - March 26, 2002
OSAIC FS, INC.
January 5, 2000 - August 10, 2000
AON SECURITIES LLC
September 23, 1996 - December 31, 1999
WESTPORT FINANCIAL SERVICES, L.L.C.
March 1, 1996 - October 8, 1996
MML INVESTORS SERVICES, LLC
October 23, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
September 13, 1989 - November 10, 1994
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1989 - July 21, 1989
B C FINANCIAL CORPORATION
January 19, 1989 - June 27, 1989
L.F. THOMPSON & COMPANY
August 25, 1988 - December 22, 1988
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/26/2024)
(3/19/2024)
Exams
Series 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
