Eric P. Merchant
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 Pamuel Merchant, who also goes by Eric P Merchant, Eric Merchant, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2005. Eric had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2020 - November 15, 2021
TRUIST ADVISORY SERVICES, INC.
October 7, 2020 - November 15, 2021
TRUIST INVESTMENT SERVICES, INC.
May 16, 2013 - September 8, 2020
BBVA SECURITIES INC.
October 27, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 20, 2008 - October 6, 2010
CITIGROUP GLOBAL MARKETS INC.
May 7, 2008 - September 9, 2008
NEXT FINANCIAL GROUP, INC.
July 3, 2007 - May 22, 2008
CITIGROUP GLOBAL MARKETS INC.
June 2, 2006 - June 15, 2007
NYLIFE SECURITIES LLC
January 28, 2005 - April 5, 2006
GUNNALLEN FINANCIAL, INC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
