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EA

Eric Abts

Some features on this profile are disabled
CRD#: 5453060
EA

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 Abts, who also goes by Eric Patrick Abts, was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 2009. Eric had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Patrick Abts

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 20, 2017 - September 11, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

March 13, 2017 - September 11, 2017

SCOTTRADE, INC.

BD
CRD#: 8206
OMAHA, NE
Past

November 14, 2014 - March 20, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
OMAHA, NE
Past

November 14, 2014 - March 20, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
OMAHA, NE
Past

July 9, 2014 - November 14, 2014

SUNSET FINANCIAL SERVICES, INC.

RIA
CRD#: 3538
OMAHA, NE
Past

June 24, 2014 - November 14, 2014

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
OMAHA, NE
Past

December 12, 2013 - February 7, 2014

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
OMAHA, NE
Past

May 23, 2013 - September 30, 2013

STOCKCROSS FINANCIAL SERVICES, INC.

RIA
CRD#: 6670
OMAHA, NE
Past

May 6, 2013 - September 30, 2013

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
OMAHA, NE
Past

May 8, 2009 - February 12, 2013

TD AMERITRADE, INC.

RIA
CRD#: 7870
OMAHA, NE
Past

May 8, 2009 - February 12, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OMAHA, NE
Past

March 10, 2009 - February 12, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/6/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/2009
General Securities Representative Examination

Current Firm

SI
SCOTTRADE INVESTMENT MANAGEMENT
SCOTTRADE INVESTMENT MANAGEMENT | SCOTTRADE INVESTMENT MANAGEMENT, INC.

CRD#: 169988 / SEC#: 801-79217

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Contact information

Main Address
700 Maryville Centre Drive, Saint Louis, MO 63141
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADVISOR ACCESS FROM SCOTTRADE INVESTMENT MANAGEMENT (1/2/2018)
GUIDANCE SOLUTIONS FROM SCOTTRADE INVESTMENT MANAGEMENT (12/6/2017)

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.

Company Information

SCOTTRADE INVESTMENT MANAGEMENT

CRD#: 169988

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