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Eric Joseph Laucius

CRD# 2898681·Registered 1997 - 2003
Barred: Eric Joseph Laucius was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Eric Joseph Laucius was a registered financial advisor. Eric was a previously registered financial professional and started their career in finance 1997 - 2003. Eric had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

PENN FINANCIAL GROUP, INC.·CRD# 47787
BD
Jenkintown, PA
November 15, 1999 - March 20, 2003
CAPITAL SECURITIES OF AMERICA, INC.·CRD# 36405
BD
Hartville, OH
July 29, 1998 - December 14, 1999
CAPITAL SECURITIES OF AMERICA, INC.·CRD# 36405
BD
June 25, 1998 - July 17, 1998
HORNOR, TOWNSEND & KENT, LLC·CRD# 4031
BD
Conshohocken, PA
April 21, 1998 - June 25, 1998
JEFFERSON GERSCH, INC.·CRD# 41893
BD
September 3, 1997 - April 27, 1998

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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

Contact Information

Established

Pennsylvania since 01/20/1999

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

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

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1997About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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