EL
Eric Lichtenstein
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CRD#: 4508335
EL
Professional summary
Eric Lichtenstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Eric had worked at 2 firms, which includes SYNERGY INVESTMENT GROUP LLC, BEAR WAGNER SPECIALISTS LLC.
Question & Answer
Are you a "fiduciary"?
No
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.
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®
NoneExperience
Past
November 2, 2007 - April 30, 2009
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
KEYPORT, NJ
Past
March 4, 2002 - February 7, 2007
BEAR WAGNER SPECIALISTS LLC
BD
CRD#: 32691
NEW YORK, NY
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 12/19/2000
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 5/20/1999
NYSE Trading Assistant ExaminationPrincipal/Supervisory Exam
Current Firm
SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES
CRD#: 46035 / SEC#: 801-68315, 8-51278
RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)BD
Terminated by SEC on 05/05/2012
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Contact information
Main Address
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
