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ES

Eric R. Steel

MOLONEY SECURITIES ASSET MANAGEMENT LLC
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 5798472
ES

Professional summary

Eric Richard Steel is a registered financial advisor currently at MOLONEY SECURITIES ASSET MANAGEMENT LLC located in Indianapolis, Indiana and MOLONEY SECURITIES CO., INC. located in Indianapolis, Indiana.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Eric has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
D/B/A - PLANNED INVESTMENT CO, INC. INVESTMENTS OFFERED THROUGH MOLONEY SECURITIES. 9265 COUNSELORS ROW #150, INDIANAPOLIS, IN 46240. DURING ALL MARKET HOURS. INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Richard Steel's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 13, 2018 - Present

MOLONEY SECURITIES ASSET MANAGEMENT LLC

Office #1: 3950 Priority Way, South Drive Suite 100, Indianapolis, IN 46240
RIA
CRD#: 282448
Indianapolis, IN
Current

December 13, 2018 - Present

MOLONEY SECURITIES CO., INC.

Office #1: 3950 Priority Way, South Drive Suite 100, Indianapolis, IN 46240
BD
CRD#: 38535
Indianapolis, IN
Past

October 6, 2010 - December 17, 2018

PLANNED INVESTMENT CO., INC.

RIA
CRD#: 3050
INDIANAPOLIS, IN
Past

July 20, 2010 - December 17, 2018

PLANNED INVESTMENT CO., INC.

BD
CRD#: 3050
INDIANAPOLIS, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES

CRD#: 282448 / SEC#: 801-107149

RIA
Registered Investment Advisory firm - (12/31/2015 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/27/2022)
RR
Arizona
(12/16/2020)
RR
California
(12/13/2018)
RR
Colorado
(12/13/2018)
RR
Florida
(12/13/2018)
RR
Georgia
(1/4/2021)
RR
Illinois
(12/13/2018)
RR
Indiana
(12/13/2018)
IAR
Indiana
(12/13/2018)
RR
Kentucky
(8/19/2019)
RR
Maine
(12/13/2018)
RR
Maryland
(1/27/2022)
RR
Massachusetts
(12/13/2018)
RR
Missouri
(1/27/2022)
RR
Nevada
(12/13/2018)
RR
New Jersey
(12/13/2018)
RR
New Mexico
(1/22/2021)
RR
New York
(12/13/2018)
RR
North Carolina
(12/13/2018)
RR
Ohio
(11/9/2022)
RR
Pennsylvania
(12/13/2018)
RR
Tennessee
(3/4/2021)
RR
Texas
(12/13/2018)
IAR
Texas
(3/4/2019)
RR
Virginia
(8/19/2019)
RR
West Virginia
(11/20/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/5/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/16/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/10/2013
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/27/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES

CRD#: 282448 / SEC#: 801-107149

RIA
Registered Investment Advisory firm - (12/31/2015 Approved)
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Contact information

Main Address
13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021
Mailing Address
Phone number
(314) 909-0600
Established
Firm type
Fiscal year end
# of Employees
77

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MSAM - FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts4,390
AUM (Assets Under Management)$ 1,389,405,894

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025
Cover Page
Report
01/14/2025
Cover Page
Report
12/20/2023
Cover Page
Report
12/22/2022
Cover Page
Report

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

MOLONEY SECURITIES ASSET MANAGEMENT LLC

CRD#: 282448Indianapolis, IN 46240

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