Eric R. Shipley
Professional summary
Eric Richard Shipley, who also goes by Eric Richard Shipley, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1998. Eric has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Richard Shipley's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2025 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020September 12, 2016 - March 31, 2021
SWBC INVESTMENT COMPANY
September 12, 2016 - January 20, 2021
SWBC INVESTMENT SERVICES, LLC
October 25, 2004 - May 23, 2016
ADVISORS ASSET MANAGEMENT, INC.
January 4, 2002 - May 23, 2016
ADVISORS ASSET MANAGEMENT, INC.
August 31, 1999 - August 23, 2001
USAA INVESTMENT SERVICES COMPANY
September 17, 1998 - July 26, 1999
U.S. GLOBAL BROKERAGE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/16/2025)
Exams
Series 7TO
Date: 2/26/2024
General Securities Representative ExaminationSeries 6TO
Date: 2/26/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
