Eric J. Handis
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 Jon Handis, CFP® was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1993. Eric had worked at 17 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
April 3, 2023 - September 19, 2025
EMPOWER ADVISORY GROUP, LLC
May 4, 2021 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
May 28, 2019 - April 19, 2021
HORNOR, TOWNSEND & KENT, LLC
May 1, 2019 - April 19, 2021
HORNOR, TOWNSEND & KENT, LLC
October 30, 2017 - December 18, 2018
COMERICA SECURITIES
October 27, 2017 - December 18, 2018
COMERICA SECURITIES
March 17, 2014 - September 6, 2017
CETERA INVESTMENT ADVISERS LLC
June 19, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
May 10, 2013 - September 6, 2017
CETERA INVESTMENT SERVICES LLC
April 11, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
April 5, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
January 25, 2007 - April 11, 2007
PFIC ADVISORS, INC.
January 10, 2007 - April 5, 2007
PFIC SECURITIES CORPORATION
May 31, 2005 - September 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 27, 2005 - September 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 12, 2002 - June 3, 2005
MORGAN STANLEY DW INC.
February 12, 2002 - June 3, 2005
MORGAN STANLEY DW INC.
December 7, 2000 - February 6, 2002
SANFORD C. BERNSTEIN & CO., LLC
October 8, 1999 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
November 28, 1997 - January 27, 1999
OCWEN CAPITAL MARKETS INC.
May 28, 1996 - June 18, 1996
JW GENESIS CLEARING CORP.
January 17, 1995 - December 4, 1995
UBS CAPITAL MARKETS L.P.
September 17, 1993 - September 9, 1994
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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: 3/4/2024
General Securities Representative ExaminationCurrent Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
