Eric Steven Picker | Financial Professional

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 Steven Picker, who also goes by Eric Steven Picker, was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Eric Steven Picker

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.

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 04/2025

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

April 7, 2025 - June 11, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Newtown, PA

Past

April 7, 2025 - June 11, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

NEWTOWN, PA

Past

November 14, 2024 - April 14, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

WARRINGTON, PA

Past

November 14, 2024 - April 14, 2025

LPL ENTERPRISE, LLC

BD

CRD#: 8733

WARRINGTON, PA

Past

May 31, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Warrington, PA

Past

May 31, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

Warrington, PA

Past

August 22, 2022 - April 6, 2023

NEW CENTURY FINANCIAL GROUP, LLC

RIA

CRD#: 104553

PRINCETON, NJ

Past

August 16, 2022 - August 16, 2022

OSAIC WEALTH, INC.

RIA

CRD#: 23131

PRINCETON, NJ

Past

August 16, 2022 - March 29, 2023

OSAIC WEALTH, INC.

BD

CRD#: 23131

PRINCETON, NJ

Past

August 17, 2017 - August 18, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Warrington, PA

Past

August 1, 2017 - August 18, 2022

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

Warrington, PA

Past

May 18, 2016 - May 2, 2017

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

DOYLESTOWN, PA

Past

May 5, 2016 - May 2, 2017

OPPENHEIMER & CO. INC.

BD

CRD#: 249

DOYLESTOWN, PA

Past

January 4, 2016 - April 28, 2016

CENTENNIAL SECURITIES COMPANY, INC.

BD

CRD#: 7763

CHICAGO, IL

Past

July 21, 2014 - December 31, 2015

BERGHOFF & COMPANY, INC.

BD

CRD#: 6441

CHICAGO, IL

Past

June 1, 2012 - July 15, 2014

TULLETT PREBON FINANCIAL SERVICES LLC

BD

CRD#: 28196

NEW YORK, NY

Past

January 28, 1997 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

BD

CRD#: 7017

NEW YORK, NY

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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.

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

RR

IAR

Series 66

Date: 5/18/2016

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 11/3/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 52TO

Date: 4/7/2025

Municipal Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 11/29/2005

General Securities Representative Examination

General Industry/Product Exam

RR

Series 52

Date: 1/22/1997

Municipal Securities Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Eric S. Picker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NEW CENTURY FINANCIAL GROUP, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CENTENNIAL SECURITIES COMPANY, INC.

BERGHOFF & COMPANY, INC.

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE TULLETT PREBON, LLC

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2016

Series 63

Date: 11/3/2014

Series 52TO

Date: 4/7/2025

SIE

Date: 10/1/2018

Series 7

Date: 11/29/2005

Series 52

Date: 1/22/1997

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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