Eric E. Faust
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 Edwin Faust, CFP® was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1992. Eric had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2010 - September 18, 2015
EDELMAN FINANCIAL ENGINES
November 24, 2009 - April 21, 2010
CHASE INVESTMENT SERVICES CORP.
November 18, 2009 - April 21, 2010
CHASE INVESTMENT SERVICES CORP.
December 9, 2008 - June 8, 2009
USAA FINANCIAL PLANNING SERVICES
September 19, 2007 - December 31, 2008
USAA INVESTMENT SERVICES COMPANY
September 13, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
February 2, 2005 - September 13, 2007
USAA FINANCIAL PLANNING SERVICES
February 2, 2005 - June 8, 2009
USAA FINANCIAL ADVISORS, INC.
January 30, 2001 - November 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2000 - November 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 1994 - June 19, 2000
SIMMONS & BISHOP CO. INC.
June 1, 1992 - October 14, 1994
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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 8
Date: 9/20/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
