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Eric J. Laucius

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CRD#: 2898681
EL

Professional summary

Eric Joseph Laucius was barred by both the FINRA and the SEC 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 1997. Prior to being barred, Eric had worked at 4 firms, which includes PENN FINANCIAL GROUP INC., CAPITAL SECURITIES OF AMERICA INC., HORNOR TOWNSEND & KENT LLC, JEFFERSON GERSCH 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

November 15, 1999 - March 20, 2003

PENN FINANCIAL GROUP, INC.

BD
CRD#: 47787
JENKINTOWN, PA
Past

July 29, 1998 - December 14, 1999

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

June 25, 1998 - July 17, 1998

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
Past

April 21, 1998 - June 25, 1998

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

September 3, 1997 - April 27, 1998

JEFFERSON GERSCH, INC.

BD
CRD#: 41893

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: 9/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/20/1999
General Securities Principal Examination

Current Firm

PF
PENN FINANCIAL GROUP, INC.
PENN FINANCIAL GROUP, INC. | PENN INVESTMENT HOLDINGS, INC.

CRD#: 47787 / SEC#: , 8-51905

BD
Terminated by SEC on 05/10/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 01/20/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAUCIUS, ERIC JOSEPHPRESIDENT / TREASURER / SECRETARY / CCO2898681
GEORGE, KENNETH RONALDFINOP / CFO2643369

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

PENN FINANCIAL GROUP, INC.

CRD#: 47787

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