Eric L. Gottlieb
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 Lee Gottlieb, who also goes by Eric Lee Gottlieb, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1991. Eric had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2017 - November 25, 2019
NWF ADVISORY SERVICES INC
July 9, 2015 - September 3, 2020
OSAIC WEALTH, INC.
July 1, 2015 - April 18, 2017
WHJR ASSOCIATES
May 6, 2014 - July 13, 2015
HB SECURITIES, LLC
June 10, 2011 - May 8, 2014
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
June 10, 2011 - May 8, 2014
J.P. TURNER & COMPANY, L.L.C.
June 23, 2010 - June 6, 2011
B. RILEY WEALTH ADVISORS, INC.
June 7, 2010 - June 10, 2011
NATIONAL SECURITIES CORPORATION
April 16, 2002 - March 31, 2010
COMMONWEALTH FINANCIAL NETWORK
April 16, 2002 - March 31, 2010
COMMONWEALTH FINANCIAL NETWORK
March 13, 1998 - April 22, 2002
OSAIC WEALTH, INC.
March 28, 1995 - March 13, 1998
COMMONWEALTH FINANCIAL NETWORK
December 23, 1991 - March 31, 1992
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/29/2024
General Securities Representative ExaminationCurrent Firm
NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
Contact information
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
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.
