Eugene C. Sulzberger

SULZBERGER CAPITAL ADVISORS

MIAMI, FL 33137

Some features on this profile are disabled

CRD#: 4852526

Professional summary

Eugene Charles Sulzberger, CFP®, who also goes by Gene Charles Sulzberger, is a registered financial advisor currently at SULZBERGER CAPITAL ADVISORS, INC. located in Miami, Florida.

Eugene is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Eugene has worked at 8 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gene Charles Sulzberger

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) - RIA

Click below to view Eugene Charles Sulzberger'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

May 5, 2015 - Present

SULZBERGER CAPITAL ADVISORS, INC.

Office #1: 4500 Biscayne Boulevard Suite 205, Miami, FL 33137

RIA

CRD#: 174673

MIAMI, FL

Past

October 17, 2014 - May 7, 2015

ROSE CAPITAL ADVISORS, LLC

RIA

CRD#: 173054

MIAMI, FL

Past

July 29, 2014 - February 5, 2015

TANDRAGEE GLOBAL ADVISORS, LLC

RIA

CRD#: 161572

Miami, FL

Past

June 2, 2014 - June 2, 2014

HAVEN CAPITAL

RIA

CRD#: 167334

ATLANTA, GA

Past

November 30, 2012 - June 17, 2014

EFG CAPITAL INTERNATIONAL

CRD#: 40118

MIAMI, FL

Past

December 11, 2008 - June 19, 2014

EFG CAPITAL ADVISORS INC.

RIA

CRD#: 112224

MIAMI, FL

Past

September 19, 2008 - December 2, 2010

EFG CAPITAL INTERNATIONAL

CRD#: 40118

MIAMI, FL

Past

July 2, 2007 - September 25, 2008

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

MIAMI, FL

Past

July 2, 2007 - September 25, 2008

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

November 14, 2005 - July 2, 2007

MBSC, LLC

RIA

CRD#: 42430

MIAMI, FL

Past

December 15, 2004 - July 2, 2007

MBSC, LLC

CRD#: 42430

NEW YORK, NY

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

Florida
(5/5/2015)

IAR

Texas
(8/29/2022)

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: 11/3/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/2004

General Securities Representative Examination

Current Firm

SULZBERGER CAPITAL ADVISORS, INC.

CRD#: 174673 / SEC#:

Florida

Registered Investment Advisory firm - (5/5/2015 Approved)

Maryland

Registered Investment Advisory firm - (1/30/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/26/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

4500 Biscayne Boulevard Suite 205, Miami, FL 33137

Mailing Address

Phone number

(305) 573-4900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	260
AUM (Assets Under Management)	$ 117,053,746

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Eugene C. Sulzberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eugene Charles Sulzberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSE CAPITAL ADVISORS, LLC

TANDRAGEE GLOBAL ADVISORS, LLC

HAVEN CAPITAL

EFG CAPITAL INTERNATIONAL

EFG CAPITAL ADVISORS INC.

EFG CAPITAL INTERNATIONAL

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

MBSC, LLC

MBSC, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2005

Series 7

Date: 12/14/2004

Current Firm

SULZBERGER CAPITAL ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SULZBERGER CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors