ES
Eric J. Speece
RETIREONE INVESTMENT SERVICES
Louisville, KY 40202
Some features on this profile are disabled
CRD#: 1989613
ES
Professional summary
Eric Jordan Speece is a registered financial professional currently at RETIREONE INVESTMENT SERVICES, LLC located in Louisville, Kentucky.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1989. Eric has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Eric Jordan Speece'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
July 15, 2020 - Present
RETIREONE INVESTMENT SERVICES, LLC
Office #1: 222 South 1st Street, Suite 600, Louisville, KY 40202BD
CRD#: 269923
Louisville, KY
Past
March 24, 2008 - September 11, 2008
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
LOUISVILLE, KY
Past
November 1, 1993 - October 31, 2003
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
LOUISVILLE, KY
Past
March 21, 1991 - October 31, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 21, 1991 - October 31, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
October 25, 1989 - August 27, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/3/2023)
RR
Alaska(9/3/2024)
RR
Arizona(2/14/2022)
RR
Arkansas(1/6/2022)
RR
California(2/14/2022)
RR
Colorado(2/14/2022)
RR
Connecticut(8/28/2020)
RR
Delaware(11/10/2021)
RR
District of Columbia(9/3/2024)
RR
Florida(6/13/2022)
RR
Georgia(8/21/2023)
RR
Hawaii(9/3/2024)
RR
Idaho(2/14/2022)
RR
Illinois(4/17/2023)
RR
Indiana(4/17/2023)
RR
Iowa(1/6/2022)
RR
Kansas(1/6/2022)
RR
Kentucky(7/27/2020)
RR
Louisiana(1/6/2022)
RR
Maine(8/28/2020)
RR
Maryland(9/3/2024)
RR
Massachusetts(8/28/2020)
RR
Michigan(4/17/2023)
RR
Minnesota(1/6/2022)
RR
Mississippi(9/3/2024)
RR
Missouri(1/6/2022)
RR
Montana(2/14/2022)
RR
Nebraska(1/6/2022)
RR
Nevada(2/14/2022)
RR
New Hampshire(8/28/2020)
RR
New Jersey(8/28/2020)
RR
New Mexico(2/14/2022)
RR
New York(9/28/2022)
RR
North Carolina(9/3/2024)
RR
North Dakota(1/6/2022)
RR
Ohio(4/17/2023)
RR
Oklahoma(1/6/2022)
RR
Oregon(2/14/2022)
RR
Pennsylvania(4/25/2022)
RR
Rhode Island(8/28/2020)
RR
South Carolina(1/9/2023)
RR
South Dakota(1/6/2022)
RR
Tennessee(11/10/2021)
RR
Texas(1/6/2022)
RR
Utah(2/14/2022)
RR
Vermont(8/28/2020)
RR
Virginia(4/18/2023)
RR
Washington(2/14/2022)
RR
West Virginia(9/3/2024)
RR
Wisconsin(4/17/2023)
RR
Wyoming(2/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/11/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/15/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RETIREONE INVESTMENT SERVICES, LLC
EF LEGACY SECURITIES, LLC | RETIREONE INVESTMENT SERVICES, LLC
CRD#: 269923 / SEC#: , 8-69640
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Mailing Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Phone number
(877) 575-2742
Established
Delaware since 05/05/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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
RETIREONE INVESTMENT SERVICES, LLC
CRD#: 269923Louisville, KY 40202TRUST BUT VERIFY
Monitor Eric Speece
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
