ES
Eric D. Sandowsky
CETERA INVESTMENT ADVISERS LLC
MANALAPAN, NJ 07726
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CRD#: 3232035
ES
Professional summary
Eric Douglas Sandowsky is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Manalapan, New Jersey and CETERA ADVISORS LLC located in Manalapan, New Jersey.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NAME OF OTHER BUSINESS: GARDEN SAVINGS FEDERAL CREDIT UNION AND PINNACLE FCU DBA LEGACY WEALTH ADVISORS/LEGACY WEALTH PLANNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION POSITION/TITLE/RELATIONSHIP:REGISTERED REPRESENTATIVE; START DATE: 07/29/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ACTIVITIES AT CREDIT UNION; 2. NAME OF OTHER BUSINESS: ERIC & DONNA SANDOWSKY; INVESTMENT RELATED: NO; ADDRESS: 300 WILD TURKEY WAY, APT. 258, HAMBURG, NJ 07419; NATURE OF BUSINESS: REAL ESTATE; START DATE: 03/2015; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL. 3. NAME OF OTHER BUSINESS: DBA LEGACY WEALTH ADVISORS/LEGACY WEALTH PLANNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/30/2015; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 20 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE BUSINESS 4. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 1/2022; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.; 5. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 12/2022, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE 6. NAME OF OTHER BUSINESS: MASS MUTUAL INVESTMENT RELATED: YES, ADDRESS: 1295 STATE STREET, SPRINGFIELD, MA, 01111, NATURE OF BUSINESS: FIXED INSURANCE, START DATE:01/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL/INSURANCE PLANNER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, BRIEF DESCRIPTION OF DUTIES: FIXED INSURANCE SALES;
CRS (Client Relationship Summary) - RIA
Click below to view Eric Douglas Sandowsky's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 29 Plaza 9, Manalapan, NJ 07726RIA
CRD#: 105644
MANALAPAN, NJ
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 800 Tennent Rd 2nd Fl Ste 2, Manalapan, NJ 07726BD
CRD#: 10299
Manalapan, NJ
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
April 7, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
MANALAPAN, NJ
Past
April 7, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
MANALAPAN, NJ
Past
February 26, 2014 - April 14, 2015
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MANALAPAN, NJ
Past
May 26, 2004 - April 14, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MANALAPAN, NJ
Past
March 16, 2004 - April 28, 2004
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
NEW YORK, NY
Past
October 17, 2001 - April 28, 2004
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
August 10, 2001 - October 9, 2001
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
June 30, 1999 - July 24, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/3/2016)
RR
Connecticut(10/3/2016)
RR
Delaware(1/8/2025)
RR
Florida(10/3/2016)
RR
Iowa(10/7/2022)
RR
Maryland(10/3/2016)
RR
Massachusetts(3/28/2024)
RR
Michigan(1/3/2019)
RR
Minnesota(10/10/2023)
RR
New Jersey(10/3/2016)
IAR
New Jersey(3/21/2024)
RR
New York(10/3/2016)
RR
North Carolina(10/25/2023)
RR
Ohio(10/10/2022)
RR
Pennsylvania(10/3/2016)
RR
South Carolina(9/27/2023)
RR
Texas(10/14/2021)
IAR
Texas(3/21/2024)
RR
Utah(10/25/2023)
RR
Virginia(10/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
