Erik J. Anderson

J.H. DARBIE & CO.

Phoenix, AZ

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CRD#: 2686661

Professional summary

Erik Jason Anderson is a registered financial advisor currently at J.H. DARBIE & CO., INC. located in Phoenix, Arizona.

Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Erik has worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 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.

(1) SARO PARTNERS LOCATED IN VENICE, FL, COMPLIANCE CONSULTANT, NOT INVESTMENT RELATED, STARTED 01/2017. APRX 30 HRS/MO - 5 HRS/MO MARKET HRS. (2) ERIK ANDERSON, PHOENIX, AZ. COMPLIANCE CONSULTANT, INVESTMENT RELATED, 10-HOURS PER MONTH, ABOUT 5-HOURS PER MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Jason Anderson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Erik Jason Anderson'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

February 28, 2024 - Present

J.H. DARBIE & CO., INC.

RIA

CRD#: 43520

Phoenix, AZ

Current

November 3, 2017 - Present

J.H. DARBIE & CO., INC.

Office #1: 48 Wall St., Suite 1206, New York, NY 10005

RIA

CRD#: 43520

New York, NY

Current

July 7, 2021 - Present

WOLF A. POPPER, INC.

Office #1: 21 Mayhew Drive, Livingston, NJ 07039

CRD#: 44974

Livingston, NJ

Past

September 30, 2015 - December 7, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

Past

March 9, 2015 - September 23, 2015

PHX FINANCIAL, INC.

CRD#: 144403

NEW YORK, NY

Past

July 17, 2013 - June 27, 2014

PORTFOLIO ADVISORS ALLIANCE, LLC

CRD#: 101680

NEW YORK, NY

Past

February 2, 2011 - June 20, 2013

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

March 17, 2010 - December 14, 2010

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

UNIONDALE, NY

Past

March 10, 2009 - October 9, 2009

SEABOARD SECURITIES, INC.

CRD#: 755

NEW YORK, NY

Past

October 23, 2008 - March 19, 2009

MARTINEZ-AYME SECURITIES

CRD#: 109838

NEW YORK, NY

Past

June 2, 2008 - October 24, 2008

BASIC INVESTORS INC.

CRD#: 1187

NEW YORK, NY

Past

January 1, 1998 - August 22, 2007

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/27/2022)

IAR

Arizona
(7/3/2024)

California
(1/29/2025)

Illinois
(5/15/2025)

New Jersey
(2/28/2024)

IAR

New Jersey
(2/28/2024)

New York
(1/5/2018)

IAR

New York
(7/8/2024)

Tennessee
(11/25/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/21/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/12/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/2007

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona

Registered Investment Advisory firm - SEC (7/3/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

New York

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

48 Wall St., Suite 1206. Suite 1206, New York, NY 10005

Mailing Address

48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005

Phone number

(212) 269-7271

Established

New York since 06/03/1997

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RABINOWITZ, ROBERT Y	PRES, GSP	2821450
ANDERSON, ERIK JASON	CHIEF COMPLIANCE OFFICER	2686661
MATSIS, MICHAEL A	AMLCO	1455158
NAVEED, HASNAIN	FINOP, POO, PFO	7004810

Disclosures

Regulatory Event	10
Civil Event	1
Arbitration	1

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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Firm Stability Insights

Erik J. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Jason Anderson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Erik Jason Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.H. DARBIE & CO., INC.

WOLF A. POPPER, INC.

LEGEND SECURITIES, INC.

PHX FINANCIAL, INC.

PORTFOLIO ADVISORS ALLIANCE, LLC

JOHN THOMAS FINANCIAL

BROOKVILLE CAPITAL PARTNERS

SEABOARD SECURITIES, INC.

MARTINEZ-AYME SECURITIES

BASIC INVESTORS INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2023

Series 63

Date: 6/12/2000

Series 6TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1997

Series 14

Date: 1/2/2023

Series 24

Date: 1/24/2007

FINRA

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.H. DARBIE & CO., INC.

TRUST BUT VERIFY

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