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Eric R. Tartaglione

Some features on this profile are disabled
CRD#: 2722931
ET

Professional summary

Eric Ryan Tartaglione was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eric is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Eric had worked at 10 firms, which includes INVESTMENT NETWORK INC., EDI FINANCIAL INC., COLORADO FINANCIAL SERVICE CORPORATION, BROOKSTONE SECURITIES INC., JESUP & LAMONT SECURITIES CORP, EMPIRE FINANCIAL GROUP INC., AMERICAN INVESTMENT SERVICES INC., J.W. BARCLAY & CO. INC., TOLUCA PACIFIC SECURITIES CORP., JOSEPH STEVENS & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2017 - July 21, 2023

INVESTMENT NETWORK, INC.

BD
CRD#: 127724
WOODBRIDGE, NJ
Past

May 14, 2013 - December 31, 2016

EDI FINANCIAL, INC.

BD
CRD#: 15699
WOODBRIDGE, NJ
Past

June 21, 2012 - June 6, 2013

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
WOODBRIDGE, NJ
Past

December 11, 2008 - June 21, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
WOODBRIDGE, NJ
Past

October 13, 2008 - October 17, 2008

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

March 25, 2002 - December 12, 2008

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
WOODBRIDGE, NJ
Past

January 31, 2001 - April 17, 2002

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

February 7, 1997 - January 31, 2001

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

July 12, 1996 - January 22, 1997

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

June 5, 1996 - June 17, 1996

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/7/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/2002
General Securities Principal Examination

Current Firm

IN
INVESTMENT NETWORK, INC.
INVESTMENT NETWORK, INC.

CRD#: 127724 / SEC#: , 8-66036

Ohio
Registered Investment Advisory firm - SEC (4/17/2015 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4639 Whipple Ave Nw, Canton, OH 44718
Mailing Address
4639 Whipple Ave Nw, Canton, OH 44718
Phone number
(330) 564-0568
Established
Ohio since 04/24/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
25

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ARNOLD, GARY LEESHAREHOLDER852859
DYER, JOHN DCFO/FINOPS7506760
WILSON, MICHAELCCO1096660

Disclosures

Regulatory Event2

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.

Company Information

INVESTMENT NETWORK, INC.

CRD#: 127724

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