EM
Eric Mendelsohn
CETERA INVESTMENT ADVISERS LLC
Stamford, CT
Some features on this profile are disabled
CRD#: 4539392
EM
Professional summary
Eric Mendelsohn, who also goes by Eric D Mendelsohn, Eric Daniel Mendelsohn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stamford, Connecticut and CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Eric has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric D Mendelsohn | Eric Daniel Mendelsohn
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) UNITED TEAM TAX POSITION: Accountant NATURE: Accounting/tax preparation, resolution and bookkeeping services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 09/27/2024 ADDRESS: 2500 North Military Trail, Suite 206, Boca Raton FL 33431, United States DESCRIPTION: 1)Tax preparation 2) tax related resolution 3)bookkeeping This is the extent of my duties 2) POA FOR JOYCE MENDELSOHN POSITION: POA NATURE: Granted POA for Joyce Mendelsohn by Joyce Mendelsohn, my mother, who now has [REDACTED] and is living in an assisted living facility. POA was granted prior to her developing signs of [REDACTED] and prior to her entering the ALF. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 06/04/2012 ADDRESS: 94 Southfield Ave, Apt 203, Stamford CT 06902, United States DESCRIPTION: Act on her behalf and perform duties: Review and pay her bills Act as liaison with the ALF and medical services, including hospitalizations Manage her financial accounts Monitor her medical insurance, pension, social security and all other benefits Work with the ALF staff to provide any services needed. 3) UNITED TEAM WEALTH MANAGEMENT POSITION: Senior Vice President, Investments NATURE: DBA for Avantax related business. I will offer investment planning, retirement planning, estate planning and financial planning through this DBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 70 START DATE: 09/27/2024 ADDRESS: 2500 North Military Trail, Suite 206, Boca Raton FL 33431, United States DESCRIPTION: Meet with clients Review investment performance Review goals and progress towards goals Analyze available investments for client suitability Develop financial plans
CRS (Client Relationship Summary) - RIA
Click below to view Eric Mendelsohn'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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 2500 North Military Trail Suite 300, Boca Raton, FL 33431RIA
CRD#: 105644
Stamford, CT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2500 North Military Trail, Suite 206, Boca Raton, FL 33431BD
CRD#: 13572
Boca Raton, FL
Past
October 1, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Boca Raton, FL
Past
October 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Boca Raton, FL
Past
July 22, 2022 - October 30, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MEMPHIS, TN
Past
August 30, 2007 - October 30, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
STAMFORD, CT
Past
August 21, 2007 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
May 11, 2005 - August 21, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FORT LAUDERDALE, FL
Past
May 9, 2005 - August 21, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FORT LAUDERDALE, FL
Past
October 31, 2002 - May 27, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FT. LAUDERDALE, FL
Past
October 30, 2002 - May 27, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 12, 2002 - October 31, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
VIENNA, VA
Past
July 29, 2002 - October 31, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 29, 2002 - October 31, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(9/5/2025)
RR
Connecticut(9/5/2025)
IAR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
IAR
Florida(9/16/2025)
RR
Georgia(9/5/2025)
RR
Iowa(9/5/2025)
RR
Louisiana(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
