Eric D. Barden

BARDEN CAPITAL MANAGEMENT

Austin, TX

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CRD#: 2720982

Professional summary

Eric David Barden is a registered financial advisor currently at BARDEN CAPITAL MANAGEMENT, INC. located in Austin, Texas.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Eric has worked at 4 firms and has passed the Series 65, Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric David Barden'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

September 26, 2006 - Present

BARDEN CAPITAL MANAGEMENT, INC.

RIA

CRD#: 141769

Austin, TX

Past

August 15, 2002 - August 22, 2006

EMPIRIC DISTRIBUTORS, INC.

CRD#: 119143

AUSTIN, TX

Past

March 18, 1999 - August 23, 2006

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

March 13, 1996 - January 21, 1999

CHOICE INVESTMENTS, INC.

CRD#: 17665

AUSTIN, TX

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".

BARDEN CAPITAL MANAGEMENT, INC.

CRD#: 141769 / SEC#: 801-126158

RIA

Registered Investment Advisory firm - (7/22/2022 Approved)

Arizona

Registered Investment Advisory firm - (9/19/2022 Terminated)

California

Registered Investment Advisory firm - (10/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - (9/27/2022 Terminated)

Kansas

Registered Investment Advisory firm - (9/19/2022 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (9/19/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(9/26/2006)

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: 6/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/20/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/12/1996

General Securities Representative Examination

Current Firm

BARDEN CAPITAL MANAGEMENT, INC.

CRD#: 141769 / SEC#: 801-126158

RIA

Registered Investment Advisory firm - (7/22/2022 Approved)

Arizona

Registered Investment Advisory firm - (9/19/2022 Terminated)

California

Registered Investment Advisory firm - (10/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - (9/27/2022 Terminated)

Kansas

Registered Investment Advisory firm - (9/19/2022 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (9/19/2022 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(512) 366-8081

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BCM FORM ADV PART 2A (2/26/2025)

Regulatory assets under management

Total Number of Accounts	316
AUM (Assets Under Management)	$ 158,100,000

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 D. Barden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric David Barden's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARDEN CAPITAL MANAGEMENT, INC.

EMPIRIC DISTRIBUTORS, INC.

RAFFERTY CAPITAL MARKETS, LLC

CHOICE INVESTMENTS, INC.

Primary Firm SEC Registration

BARDEN CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/20/1996

Series 63

Date: 6/20/1996

Series 7

Date: 3/12/1996

Current Firm

BARDEN CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BARDEN CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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