Eric R. Gaddy

ALPHASTAR CAPITAL MANAGEMENT

Boiling Springs, SC 29316

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CRD#: 2338947

Professional summary

Eric Rogers Gaddy is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Boiling Springs, South Carolina.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Eric has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Secure Retirement Store, LLC Investment Related Insurance Agent Managing Member - Commission Based 80 HRS/MTH PO Box 160837 Boiling Springs SC 29316 Sale of Annuities, Life Insurance and Long-Term Care Insurance Retire Early 365 LLC is for Mr. Gaddy's book, while the topic of the book is investment related, the writing of the book itself is a non investment related activity - Author 4 Long Shoals Road, Suite B #890 Arden NC 28704 9/6/2018, Income from Book Sales. Retirement Made Simple (Publishing) time spent on OBA 5%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Rogers Gaddy's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 13, 2021 - Present

ALPHASTAR CAPITAL MANAGEMENT

Office #1: 1523 Boiling Springs Road, Boiling Springs, SC 29316

RIA

CRD#: 157423

Boiling Springs, SC

Past

September 16, 2019 - April 15, 2021

SHANKLAND FINANCIAL ADVISORS, LLC

RIA

CRD#: 139562

HENDERSONVILLE, NC

Past

January 10, 2019 - September 5, 2019

INTEGRATED FINANCIAL STRATEGIES, LLC

RIA

CRD#: 165007

ASHEVILLE, NC

Past

September 8, 2010 - December 31, 2017

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

SYLVA, NC

Past

August 24, 2010 - December 31, 2017

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

FRANKLIN, NC

Past

May 2, 2005 - July 21, 2010

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

ASHEVILLE, NC

Past

May 2, 2005 - July 21, 2010

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

ASHEVILLE, NC

Past

October 13, 2003 - May 9, 2005

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

ASHVILLE, NC

Past

October 13, 2003 - May 9, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

May 13, 1999 - October 20, 2003

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

WAYNESVILLE, NC

Past

April 16, 1998 - October 20, 2003

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

September 7, 1995 - July 29, 1998

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

April 18, 1994 - September 14, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 12, 1993 - April 13, 1994

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

Past

June 28, 1993 - September 28, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 28, 1993 - September 28, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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

South Carolina
(4/27/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/10/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/26/1993

General Securities Representative Examination

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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Contact information

Main Address

19600 West Catawba Avenue Suite B200, Cornelius, NC 28031

Mailing Address

Phone number

(855) 340-2514

Established

Firm type

Fiscal year end

# of Employees

124

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,592
AUM (Assets Under Management)	$ 1,841,154,148

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/12/2023	Cover Page	Report
06/27/2023	Cover Page	Report
01/24/2023	Cover Page	Report

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.

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Eric R. Gaddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Rogers Gaddy's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHANKLAND FINANCIAL ADVISORS, LLC

INTEGRATED FINANCIAL STRATEGIES, LLC

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CAPITAL INVESTMENT GROUP, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN STANLEY DW INC.

MARION BASS SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ALPHASTAR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/1993

Series 63

Date: 7/7/1993

SIE

Date: 12/31/2017

Series 31

Date: 10/10/1994

Series 7

Date: 6/26/1993

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHASTAR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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