EK
Eric R. Katzman
ROCKINGSTONE ADVISORS
Great Barrington, MA 01230
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CRD#: 2300355
EK
Professional summary
Eric Richard Katzman, who also goes by Eric R Katzman, is a registered financial advisor currently at ROCKINGSTONE ADVISORS located in Great Barrington, Massachusetts.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Eric has worked at 3 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric R Katzman
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.
BOARD OF TRUSTEES, OBERLIN COLLEGE; INVESTMENT RELATED? : YES; SERVES ON ENDOWMENT COMMITTEE ADDRESS: 173 WEST LORAIN STREET, OBERLIN, OH 44074; NATURE OF BUSINESS: UNIVERSITY; TITLE/POSITION: BOARD MEMBER; START DATE OF AFFILIATION: 7/2015; NUMBER OF HOURS PER/MONTH DEVOTED : 5; NUMBER OF TRADING HOURS PER/MONTH DEVOTED : 1; DESCRIPTION OF DUTIES: ASSISTS WITH ADVISING ON UNIVERSITY ENDOWMENT. BOARD OF TRUSTEES, BERKSHIRE NATURAL RESOURCE COUNCIL INVESTMENT RELATED? : YES; SERVE ON FINANCE AND INVESTMENT COMMITTEE ADDRESS: 309 PITTSFIELD ROAD, LENOX, MA, 01240 TITLE/POSITION: BOARD MEMBER; START DATE OF AFFILIATION: 10/2022; NUMBER OF HOURS PER/MONTH DEVOTED : 5; NUMBER OF TRADING HOURS PER/MONTH DEVOTED : 1; DESCRIPTION OF DUTIES: ENVIRONMENTAL STEWARDSHIP. ADVISORY BOARD: JOVE ISLAND ACQUISITION CORP INVESTMENT RELATED? : YES; SERVE ON INVESTMENT ADVISORY BOARD ADDRESS: 150 SOUTH US HIGHWAY 1, SUITE 100, JUPITER, FL 33477 TITLE/POSITION: ADVISORY BOARD MEMBER; START DATE OF AFFILIATION: 7/2022; NUMBER OF HOURS PER/MONTH DEVOTED : 3; NUMBER OF TRADING HOURS PER/MONTH DEVOTED : 1; DESCRIPTION OF DUTIES: CPG RELATED INVESTMENTS
CRS (Client Relationship Summary) - RIA
Click below to view Eric Richard Katzman'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
March 19, 2020 - Present
ROCKINGSTONE ADVISORS
Office #1: 292 Main Street Suite 32, Great Barrington, MA 01230RIA
CRD#: 149592
Great Barrington, MA
Past
January 6, 2017 - December 31, 2018
ROCKINGSTONE ADVISORS
RIA
CRD#: 149592
NEW YORK, NY
Past
October 18, 2000 - June 23, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
September 2, 1993 - October 5, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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".
RA
ROCKINGSTONE ADVISORS
ROCKINGSTONE ADVISORS | ROCKINGSTONE ADVISORS LLC
CRD#: 149592 / SEC#: 801-77696
RIA
Registered Investment Advisory firm - (3/5/2013 Approved)Florida
Registered Investment Advisory firm - (7/22/2015 Terminated)New York
Registered Investment Advisory firm - (7/15/2015 Terminated)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.Highlighted states indicate IAR registrations
IAR
Florida(2/28/2025)
IAR
Massachusetts(3/19/2020)
IAR
New York(3/26/2024)
IAR
Texas(3/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
ROCKINGSTONE ADVISORS
ROCKINGSTONE ADVISORS | ROCKINGSTONE ADVISORS LLC
CRD#: 149592 / SEC#: 801-77696
RIA
Registered Investment Advisory firm - (3/5/2013 Approved)Florida
Registered Investment Advisory firm - (7/22/2015 Terminated)New York
Registered Investment Advisory firm - (7/15/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
292 Main Street Suite 32, Great Barrington, MA 01230
Mailing Address
Phone number
(212) 430-2240
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 232 |
| AUM (Assets Under Management) | $ 285,789,462 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
