Eric S. Zampol

PEAKSTONE SECURITIES

Chicago, IL 60607

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CRD#: 4569055

Professional summary

Eric Scott Zampol is a registered financial professional currently at PEAKSTONE SECURITIES, LLC located in Chicago, Illinois.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2002. Eric has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 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) - BD

Click below to view Eric Scott Zampol's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 16, 2025 - Present

PEAKSTONE SECURITIES, LLC

Office #1: 550 West Van Buren Street Suite 1460, Chicago, IL 60607

CRD#: 157146

Chicago, IL

Past

May 6, 2019 - September 3, 2024

PEAKSTONE SECURITIES, LLC

CRD#: 157146

CHICAGO, IL

Past

August 12, 2016 - March 25, 2019

DREXEL HAMILTON, LLC

CRD#: 143570

NEW YORK, NY

Past

October 1, 2015 - August 4, 2016

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

February 27, 2009 - October 20, 2015

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

FORT LAUDERDALE, FL

Past

October 2, 2002 - December 31, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(8/16/2025)

Illinois
(8/16/2025)

Exams

State Security Law Exam

Series 63

Date: 8/17/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 3/15/2013

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/30/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PEAKSTONE SECURITIES, LLC

CRD#: 157146 / SEC#: , 8-68835

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

550 West Van Buren Street Suite 1460, Chicago, IL 60607

Mailing Address

550 West Van Buren Street Suite 1460, Chicago, IL 60607

Phone number

(312) 346-7318

Established

Illinois since 02/17/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FRIDMAN, ALEX	MEMBER	4580424
SLEIGH, STEPHEN ROBERT	CEO, MEMBER	2466141
TEMPLE, JEFFREY WILLIAM	MEMBER	5905932
ALVAREZ, ENRIQUE	CFO / FINOP	4622342
BROWN, EVAN MICHAEL	CHIEF COMPLIANCE OFFICER, AMLCO	6563464

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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Firm Stability Insights

Eric S. Zampol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Scott Zampol's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAKSTONE SECURITIES, LLC

DREXEL HAMILTON, LLC

BMO CAPITAL MARKETS CORP.

BMO CAPITAL MARKETS GKST INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/2002

SIE

Date: 10/1/2018

Series 79

Date: 3/15/2013

Series 7

Date: 9/30/2002

Series 24

Date: 11/22/2016

FINRA

Current Firm

PEAKSTONE SECURITIES, LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PEAKSTONE SECURITIES, LLC

TRUST BUT VERIFY

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