Eric J. Zipfel

RITHOLTZ WEALTH MANAGEMENT

Austin, TX

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CRD#: 3204894

Professional summary

Eric John Zipfel, who also goes by Eric J Zipfel, is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in Austin, Texas.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Eric has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric J Zipfel

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.

Business Name: Beacon Financial Group Investment Related: Yes Address: 17300 Preston Rd Ste 120 Dallas TX 75252 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Senior Vice President Start Date: 2/1/2010 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: sales and support Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric John Zipfel's CRS (Customer Relationship Summary).

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

March 10, 2023 - Present

RITHOLTZ WEALTH MANAGEMENT

RIA

CRD#: 168652

Austin, TX

Past

April 29, 2016 - March 10, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

DALLAS, TX

Past

September 7, 2011 - March 10, 2023

CRD#: 7870

AUSTIN, TX

Past

May 10, 2005 - March 13, 2007

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

DUBLIN, OH

Past

April 26, 2005 - March 13, 2007

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

DUBLIN, OH

Past

November 22, 2004 - March 23, 2005

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

COLUMBUS, OH

Past

March 30, 1999 - March 23, 2005

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 Approved)

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

Texas
(3/10/2023)

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: 3/4/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/3/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/1999

General Securities Representative Examination

Current Firm

RITHOLTZ WEALTH MANAGEMENT

COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA

Registered Investment Advisory firm - (9/16/2013 Approved)

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Contact information

Main Address

24 West 40th Street 15th Floor, New York, NY 10018

Mailing Address

Phone number

(212) 625-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/2/2025)

Regulatory assets under management

Total Number of Accounts	11,801
AUM (Assets Under Management)	$ 6,459,181,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/28/2025	Cover Page	Report
04/10/2024	Cover Page	Report

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.

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Eric J. Zipfel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric John Zipfel's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

BEACON FINANCIAL GROUP

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

Primary Firm SEC Registration

RITHOLTZ WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2008

Series 63

Date: 5/3/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/29/1999

Current Firm

RITHOLTZ WEALTH MANAGEMENT

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RITHOLTZ WEALTH MANAGEMENT

TRUST BUT VERIFY

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