EM
Eric S. Malden
SHEARWATER CAPITAL
SAINT LOUIS, MO 63105
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CRD#: 4451224
EM
Professional summary
Eric Stuart Malden is a registered financial advisor currently at SHEARWATER CAPITAL located in Saint Louis, Missouri.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Eric has worked at 1 firm .
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.
NAME: RADIOLOGY IMAGING ASSOCIATES
INVESTMENT-RELATED?: NO
ADDRESS: 3900 S. WADSWORTH BLVD., SUITE 250, LAKEWOOD, CO 80235
NATURE: RADIOLOGY PRACTICE
POSITION: RADIOLOGIST
DATES OF EMPLOYMENT: 1/1/2000 TO PRESENT
NUMBER OF HOURS/MONTH: 180
HRS/MONTH DURING TRADING HOURS: 140
DUTIES: CLINICAL RADIOLOGY
CRS (Client Relationship Summary) - RIA
Click below to view Eric Stuart Malden'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
September 24, 1999 - Present
SHEARWATER CAPITAL
Office #1: 8304 Kingsbury Blvd., Saint Louis, MO 63105RIA
CRD#: 115399
SAINT LOUIS, MO
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".
SC
SHEARWATER CAPITAL
SHEARWATER CAPITAL | SHEARWATER CAPITAL, LLC
CRD#: 115399 / SEC#: 801-77787
RIA
Registered Investment Advisory firm - (4/2/2013 Approved)California
Registered Investment Advisory firm - (5/18/2013 Terminated)Colorado
Registered Investment Advisory firm - (4/19/2013 Terminated)Florida
Registered Investment Advisory firm - (4/18/2013 Terminated)Illinois
Registered Investment Advisory firm - (4/2/2013 Terminated)Missouri
Registered Investment Advisory firm - (4/18/2013 Terminated)Texas
Registered Investment Advisory firm - (4/18/2013 Terminated)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
California(3/3/2003)
IAR
Missouri(9/24/1999)
Exams
Current Firm
SC
SHEARWATER CAPITAL
SHEARWATER CAPITAL | SHEARWATER CAPITAL, LLC
CRD#: 115399 / SEC#: 801-77787
RIA
Registered Investment Advisory firm - (4/2/2013 Approved)California
Registered Investment Advisory firm - (5/18/2013 Terminated)Colorado
Registered Investment Advisory firm - (4/19/2013 Terminated)Florida
Registered Investment Advisory firm - (4/18/2013 Terminated)Illinois
Registered Investment Advisory firm - (4/2/2013 Terminated)Missouri
Registered Investment Advisory firm - (4/18/2013 Terminated)Texas
Registered Investment Advisory firm - (4/18/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2000 S Colorado Blvd. Tower 1 Suite 2000-1148, Denver, CO 80222
Mailing Address
Po Box 100561, Denver, CO 80250
Phone number
(314) 434-4750
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 694 |
| AUM (Assets Under Management) | $ 348,161,272 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SHEARWATER CAPITAL
CRD#: 115399Saint Louis, MO 63105TRUST BUT VERIFY
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