Eric N. Carlson

SEWICKLEY FINANCIAL LLC

Sewickley, PA 15143

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CRD#: 4633051

Professional summary

Eric N Carlson, who also goes by Eric Neil Carlson, is a registered financial advisor currently at SEWICKLEY FINANCIAL LLC located in Sewickley, Pennsylvania.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Eric has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Neil Carlson

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.

Sewickley Library; non investment related; 500 Thorn St. Sewickley, PA 15143; Board member; Treasurer, Head of Finance & Endowment committee; Started April 2022; no work is done during securities trading hours; I serve as a board member, there is no compensation, it's purely volunteer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric N Carlson'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®

None

Experience

Current

September 22, 2014 - Present

SEWICKLEY FINANCIAL LLC

Office #1: 415 Beaver Street Suite 205, Sewickley, PA 15143

RIA

CRD#: 172459

Sewickley, PA

Past

February 13, 2014 - September 19, 2014

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

February 13, 2014 - September 19, 2014

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

June 21, 2012 - February 10, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PITTSBURGH, PA

Past

June 11, 2012 - February 10, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PITTSBURGH, PA

Past

April 16, 2003 - March 7, 2012

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

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

Pennsylvania
(9/22/2014)

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 66

Date: 6/20/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/2003

General Securities Representative Examination

Current Firm

SEWICKLEY FINANCIAL LLC

CARLSON, ERIC N | SEWICKLEY FINANCIAL LLC

CRD#: 172459 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (9/22/2014 Approved)

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Contact information

Main Address

415 Beaver Street Suite 205, Sewickley, PA 15143

Mailing Address

Phone number

(414) 688-6733

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 11,258,927

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 N. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SEWICKLEY FINANCIAL LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2012

Series 63

Date: 4/23/2003

Series 7

Date: 4/15/2003

Current Firm

SEWICKLEY FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SEWICKLEY FINANCIAL LLC

TRUST BUT VERIFY

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