AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EB

Eric M. Betancourt

Some features on this profile are disabled
CRD#: 2775152
EB

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 Matthew Betancourt was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1996. Eric had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 9 and Series 10 exams.

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

February 3, 2015 - July 18, 2017

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
MASSAPEQUA PARK, NY
Past

January 29, 2015 - July 18, 2017

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
MASSAPEQUA, NY
Past

January 24, 2015 - January 29, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
MASSAPEQUA PARK, NY
Past

April 24, 2013 - December 12, 2013

EMPIRE ASSET MANAGEMENT COMPANY

BD
CRD#: 143007
NEW YORK, NY
Past

December 7, 2012 - December 18, 2012

BRITE ADVISORS USA, INC.

RIA
CRD#: 155775
NEW YORK, NY
Past

August 26, 2011 - January 17, 2012

JOHN CARRIS INVESTMENTS LLC

BD
CRD#: 145767
HOBOKEN, NJ
Past

November 23, 2009 - January 21, 2011

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
NEW YORK, NY
Past

February 11, 2008 - November 25, 2008

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

December 18, 2006 - February 8, 2008

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
NEW YORK, NY
Past

September 26, 2005 - December 20, 2006

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

April 2, 2004 - October 7, 2005

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

September 11, 1997 - April 15, 2004

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

November 13, 1996 - August 22, 1997

WEINER ABRAMS & COMPANY, INC.

BD
CRD#: 31085
ENGLEWOOD CLIFFS, NJ

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
IAR
Series 65
Date: 11/14/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/17/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/1/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/3/2000
General Securities Sales Supervisor - General Module Examination

Current Firm

CO
CAPITAL ONE ADVISORS, LLC
CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1750 Tysons Blvd 6th Floor, Mclean, VA 22102
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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

CAPITAL ONE ADVISORS, LLC

CRD#: 136865

TRUST BUT VERIFY

Monitor Eric Betancourt

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.