Eric Brodwin

CONGRESS PARK CAPITAL LLC

SARATOGA SPRINGS, NY

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CRD#: 4595310

Professional summary

Eric Brodwin is a registered financial advisor currently at CONGRESS PARK CAPITAL LLC located in Saratoga Springs, New York.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Eric has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

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.

MR. BRODWIN HAS AN EQUITY OWNERSHIP INVESTMENT IN FORZA, CORP. (ABOUT 14.5%). MR. BRODWIN RECEIVES PERIODIC UPDATES FROM THE COMPANY BUT DOES NOT HAVE AN ACTIVE, ONGOING ROLE IN THE COMPANY. MR. BRODWIN DOES NOT SPEND TIME ON THIS ENDEAVOR DURING MARKET HOURS OTHER THAN AN OCCASIONAL CONVERSATION WITH THE COMPANY PRESIDENT. FORZA, CORP, IS A PRIVATE COMPANY FOCUSED ON NETWORK INTEGRATION FOR SMALL AND MID-SIZED BUSINESSES AND SOFTWARE DEVELOPMENT. MR. BRODWIN IS THE OWNER OF STRATEGIC CONSULTING. MR BRODWIN OFFERS PRIVATE CONSULTING APPROX. 50 HOURS/MONTH NONE OF WHICH ARE DURING MARKET HOURS. OLDEST LIGHTHOUSE LLC; NON INVESTMEN-RELATED; 12 STRATTON ST SARATOGA SPRINGS, NY 12866; REAL ESTATE DEVELOPMENT; MANAGING MEMBER; START 06/2024; APPROX 20 HRS/MONTH; 0 DURING SECURITIES TRADING HOURS; DEVELOPING CONDOS IN DOWNTOWN SARATOGA SPRINGS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Brodwin'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 5, 2009 - Present

CONGRESS PARK CAPITAL LLC

RIA

CRD#: 150309

SARATOGA SPRINGS, NY

Past

September 9, 2005 - June 16, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLIFTON PARK, NY

Past

December 9, 2002 - September 22, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

CONGRESS PARK CAPITAL LLC

CRD#: 150309 / SEC#: 801-70181

RIA

Registered Investment Advisory firm - (5/6/2009 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(8/10/2009)

IAR

New York
(4/1/2021)

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 65

Date: 9/11/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/19/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/6/2002

General Securities Representative Examination

Current Firm

CONGRESS PARK CAPITAL LLC

CRD#: 150309 / SEC#: 801-70181

RIA

Registered Investment Advisory firm - (5/6/2009 Approved)

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Contact information

Main Address

57 Phila Street, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 339-4335

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CPC - ADV PART 2A: FIRM BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 366,480,628

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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Eric Brodwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CONGRESS PARK CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CONGRESS PARK CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2009

Series 66

Date: 12/19/2002

Series 7

Date: 12/6/2002

Current Firm

CONGRESS PARK CAPITAL LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONGRESS PARK CAPITAL LLC

TRUST BUT VERIFY

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