Eric P. Stone

ECT ADVISORY

Lawrence, KS

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CRD#: 4923954

Professional summary

Eric Porter Stone, CFP®, who also goes by Eric Stone, is a registered financial advisor currently at ECT ADVISORY, LLC located in Lawrence, Kansas.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Eric has worked at 5 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Stone

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.

***GROUP INSURANCE, FL, EFF 12/21/10, SELLING GROUP INSURANCE, VARIOUS CARRIERS, NOT INVESTMENT RELATED, 80 HRS/MO. REPRESENTATIVE HAS RESIDENTIAL RENTAL PROPERTY. DBA ECT FINANCIAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Porter Stone'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: 2012

Experience

Current

February 10, 2014 - Present

ECT ADVISORY, LLC

RIA

CRD#: 169117

Lawrence, KS

Past

October 23, 2013 - February 13, 2014

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

GULF BREEZE, FL

Past

March 11, 2008 - October 22, 2013

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

GULF BREEZE, FL

Past

July 31, 2007 - October 22, 2013

PRINCIPAL SECURITIES, INC.

CRD#: 1137

GULF BREEZE, FL

Past

September 16, 2005 - July 31, 2007

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

May 6, 2005 - October 3, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

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
(2/10/2014)

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: 3/6/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/7/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/5/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ECT ADVISORY, LLC

CRD#: 169117 / SEC#:

Delaware

Registered Investment Advisory firm - (11/15/2023 Approved)

Florida

Registered Investment Advisory firm - (2/10/2014 Approved)

Kansas

Registered Investment Advisory firm - (4/1/2024 Terminated)

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).

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Contact information

Main Address

Middletown, DE

Mailing Address

Phone number

(407) 948-1771

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 13,372,130

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 P. Stone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ECT ADVISORY, LLC

FORTUNE FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

NEWBRIDGE SECURITIES CORPORATION

OSAIC FS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2008

Series 7

Date: 6/7/2006

Series 6

Date: 5/5/2005

Current Firm

ECT ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ECT ADVISORY, LLC

TRUST BUT VERIFY

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