Eric B. Tompkins
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Benjamin Tompkins, who also goes by Eric Tompkins, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2020 - March 15, 2024
COREBRIDGE CAPITAL SERVICES, INC.
November 19, 2018 - March 9, 2020
TRANSAMERICA CAPITAL, LLC
March 6, 2017 - November 8, 2017
BRIGHTHOUSE SECURITIES, LLC
April 1, 2006 - March 6, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
November 17, 2003 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
