Eric M. Stein

EAST BAY INVESTMENT SOLUTIONS

Charlotte, NC

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CRD#: 2835495

Professional summary

Eric Michael Stein is a registered financial advisor currently at EAST BAY INVESTMENT SOLUTIONS located in Charlotte, North Carolina.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Eric has worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 24 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.

1. EAST BAY FINANCIAL SERVICES, LLC; INVESTMENT-RELATED; CHARLESTON, SC; REGISTERED INVESTMENT ADVISER; PARTNER; 10/2018; APPROXIMATELY 200 HOURS PER MONTH; APPROXIMATELY 130 HOURS PER MONTH DURING TRADING HOURS; PARTNER IN AN RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Michael Stein's 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

January 25, 2019 - Present

EAST BAY INVESTMENT SOLUTIONS

RIA

CRD#: 166207

Charlotte, NC

Past

April 1, 2020 - September 18, 2020

STRAVA FINANCIAL, LLC

RIA

CRD#: 304263

WESTLAKE VILLAGE, CA

Past

September 12, 2005 - December 7, 2016

CHOREO, LLC

RIA

CRD#: 111221

CHARLOTTE, NC

Past

August 24, 2005 - July 17, 2012

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

CHARLOTTE, NC

Past

February 10, 1998 - September 2, 2005

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

February 11, 1997 - January 15, 1998

GLICKENHAUS & CO.

CRD#: 2016

NEW YORK, NY

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

North Carolina
(1/25/2019)

IAR

South Carolina
(1/26/2019)

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 66

Date: 3/17/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/6/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/28/2007

General Securities Principal Examination

Current Firm

EAST BAY INVESTMENT SOLUTIONS

EAST BAY FINANCIAL SERVICES, LLC | JERICHO INVESTMENT ADVISORS, LLC | JERICHO INVESTMENT ADVISORS | EAST BAY INVESTMENT SOLUTIONS

CRD#: 166207 / SEC#:

North Carolina

Registered Investment Advisory firm - (1/25/2019 Approved)

South Carolina

Registered Investment Advisory firm - (5/7/2013 Approved)

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Contact information

Main Address

Charleston, SC

Mailing Address

Phone number

(843) 628-3739

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Eric M. Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Michael Stein's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAST BAY INVESTMENT SOLUTIONS

STRAVA FINANCIAL, LLC

CHOREO, LLC

BIRCHTREE FINANCIAL SERVICES LLC

GOLDMAN SACHS & CO. LLC

GLICKENHAUS & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2006

Series 63

Date: 11/30/1998

Series 7

Date: 1/6/1997

Series 24

Date: 9/28/2007

Current Firm

EAST BAY INVESTMENT SOLUTIONS

Contact information

Documents

Red Flags

Company Information

EAST BAY INVESTMENT SOLUTIONS

TRUST BUT VERIFY

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