Eric Stanwick
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 Stanwick, who also goes by Eric T Stanwick, Eric Thomas Stanwick, Eric Stanwick, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2000. Eric had worked at 11 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 6TO, Series 82TO, Series 22TO, SIE, Series 7, Series 53, Series 39, Series 14, Series 26, Series 4 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
Experience
April 23, 2026 - June 3, 2026
FIRST COMMAND BROKERAGE SERVICES, INC.
April 16, 2025 - March 6, 2026
LPL ENTERPRISE, LLC
November 29, 2023 - March 6, 2026
LPL FINANCIAL LLC
July 3, 2020 - December 15, 2023
WELLS FARGO SECURITIES, LLC
March 25, 2017 - June 4, 2019
MML INVESTORS SERVICES, LLC
February 18, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
August 16, 2013 - December 23, 2015
TRADIER BROKERAGE, INC.
August 9, 2011 - September 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2008 - September 10, 2010
LPL FINANCIAL LLC
July 18, 2007 - September 10, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
July 27, 2005 - July 19, 2007
WELLS FARGO SECURITIES, LLC
October 1, 2000 - August 1, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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