Eric Lee Vos
Professional Summary
Eric Lee Vos is a registered financial advisor currently at MORETON CAPITAL MARKETS, LLC located in Minnetonka, Minnesota. Eric is registered as a RR (Registered Representative) and started their career in finance in 1998. Eric has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MORETON BROKERAGE SERVICES, LLC | MORETON CAPITAL MARKETS, LLC
Contact Information
Main Address
101 S. 200 E. Suite 300, Salt Lake City, UT 84111Mailing Address
101 S 200 E. Suite 300, Salt Lake City, UT 84111Phone Number
(801) 535-3650Established
Utah since 07/19/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (39 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/2/2020)
(4/28/2020)
(6/2/2020)
(1/2/2018)
(6/9/2020)
(9/20/2021)
(8/25/2020)
(2/21/2022)
(1/2/2018)
(6/10/2020)
(4/11/2018)
(6/2/2020)
(3/7/2023)
(5/22/2020)
(1/2/2018)
(9/11/2018)
(1/2/2018)
(6/2/2020)
(6/2/2020)
(1/2/2018)
(6/2/2020)
(4/21/2020)
(6/2/2020)
(6/2/2020)
(6/2/2020)
(2/25/2022)
(6/2/2020)
(12/20/2016)
(6/2/2020)
(6/2/2020)
(4/11/2018)
(1/2/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eric Lee Vos's CRS (Customer Relationship Summary).
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