Eric L. Radcliffe

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CRD#: 4051492

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Eric Lee Radcliffe was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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

August 12, 2021 - October 6, 2021

SEVERIN INVESTMENTS LLC

RIA

CRD#: 166567

Clearwater, FL

Past

December 27, 2018 - May 11, 2020

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

St. Petersburg, FL

Past

December 11, 2018 - May 11, 2020

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

ST. PETERSBURG, FL

Past

September 16, 2016 - June 6, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLEARWATER, FL

Past

September 16, 2016 - June 6, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLEARWATER, FL

Past

March 23, 2015 - August 24, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ST. PETERSBURG, FL

Past

March 20, 2015 - August 24, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 27, 2014 - December 4, 2014

LINCOLN INVESTMENT

RIA

CRD#: 519

LUTZ, FL

Past

January 24, 2014 - March 3, 2015

LINCOLN INVESTMENT

CRD#: 519

LUTZ, FL

Past

December 13, 2004 - January 24, 2014

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

TAMPA, FL

Past

November 4, 1999 - January 24, 2014

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

TAMPA, FL

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".

SEVERIN INVESTMENTS LLC

ECC FINANCIAL | SEVERIN INVESTMENTS LLC | SEVERIN FINANCIAL GROUP, INC. | SEVERIN ASSET MANAGEMENT

CRD#: 166567 / SEC#: 801-118181

RIA

Registered Investment Advisory firm - (3/9/2020 Approved)

California

Registered Investment Advisory firm - (4/9/2020 Terminated)

Illinois

Registered Investment Advisory firm - (3/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (3/10/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 8/30/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/8/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/3/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEVERIN INVESTMENTS LLC

ECC FINANCIAL | SEVERIN INVESTMENTS LLC | SEVERIN FINANCIAL GROUP, INC. | SEVERIN ASSET MANAGEMENT

CRD#: 166567 / SEC#: 801-118181

RIA

Registered Investment Advisory firm - (3/9/2020 Approved)

California

Registered Investment Advisory firm - (4/9/2020 Terminated)

Illinois

Registered Investment Advisory firm - (3/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (3/10/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/10/2020 Terminated)

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Contact information

Main Address

211 North Broadway Suite 2925, St. Louis, MO 63102

Mailing Address

Phone number

(314) 983-2707

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEVERIN INVESTMENTS WRAP FEE PROGRAM BROCHURE (3/11/2025)

FIRM BROCHURE: SEVERIN INVESTMENTS LLC (3/11/2025)

Regulatory assets under management

Total Number of Accounts	561
AUM (Assets Under Management)	$ 127,648,000

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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Advisor Monitoring

Firm Stability Insights

Eric L. Radcliffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

LINCOLN INVESTMENT

LINCOLN INVESTMENT

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

SEVERIN INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2004

Series 63

Date: 2/8/2000

SIE

Date: 6/6/2018

Series 7

Date: 9/3/2003

Series 6

Date: 11/3/1999

Current Firm

SEVERIN INVESTMENTS LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEVERIN INVESTMENTS LLC

TRUST BUT VERIFY

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