Eric T. 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 Thomas Stanwick, who also goes by Eric T 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 10 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 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.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
