Eric R. Barbarita

BANGERTER FINANCIAL SERVICES

San Diego, CA

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CRD#: 5862460

Professional summary

Eric Richard Barbarita, who also goes by Eric Richard Barbarita, Eric Barbarita, is a registered financial advisor currently at BANGERTER FINANCIAL SERVICES, INC. located in San Diego, California and CONCORDE INVESTMENT SERVICES, LLC located in Roseville, California.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Eric has worked at 5 firms and has passed the Series 63, Series 65, Series 22TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Richard Barbarita | Eric Barbarita

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.

1) Bangerter Financial Services, Inc. Investment related. Roseville, CA. DBA for securities related activities, and Investment Advisor Representative. Registered Representative, Start date: November 2022, Full time during trading hours. 2) Eric Barbarita Services, Individual Sole Proprietorship, Non investment related, CA, small consulting business, give advice to small business owners in the area if they need assistance. Typically refer third party contractors for assistance in areas of social media, marketing, logistics, operations. Start date 08/09/2023. 1-5 hours/month during non trading hours, 1-5 hours/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Richard Barbarita'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®

None

Experience

Current

December 1, 2022 - Present

BANGERTER FINANCIAL SERVICES, INC.

RIA

CRD#: 171939

San Diego, CA

Current

November 10, 2022 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 1380 Lead Hill Blvd Suite 180, Roseville, CA 95661

CRD#: 151604

Roseville, CA

Past

June 2, 2023 - January 22, 2025

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

San Diego, CA

Past

August 29, 2022 - September 16, 2022

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

September 27, 2012 - June 19, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN DIEGO, CA

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.

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

California
(11/10/2022)

IAR

California
(12/1/2022)

Florida
(7/3/2023)

New Jersey
(12/15/2024)

New York
(4/17/2023)

Pennsylvania
(12/1/2022)

Texas
(7/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/3/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/29/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 22TO

Date: 8/29/2022

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 5/27/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BANGERTER FINANCIAL SERVICES, INC.

BANGERTER FINANCIAL AND INSURANCE SERVICES, INC. | BANGERTER FINANCIAL SERVICES, INC.

CRD#: 171939 / SEC#:

California

Registered Investment Advisory firm - (10/20/2014 Approved)

Florida

Registered Investment Advisory firm - (11/16/2022 Approved)

Georgia

Registered Investment Advisory firm - (4/26/2024 Approved)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Maryland

Registered Investment Advisory firm - (6/25/2025 Approved)

Nevada

Registered Investment Advisory firm - (8/30/2022 Approved)

Texas

Registered Investment Advisory firm - (12/6/2021 Conditional Restricted)

Utah

Registered Investment Advisory firm - (10/13/2021 Approved)

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

1380 Lead Hill Blvd Suite 180, Roseville, CA 95661

Mailing Address

Phone number

(916) 965-1879

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	320
AUM (Assets Under Management)	$ 68,785,486

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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Firm Stability Insights

Eric R. Barbarita

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Richard Barbarita's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

CONCORDE ASSET MANAGEMENT, LLC

EMERSON EQUITY LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/2022

Series 65

Date: 10/29/2022

Series 22TO

Date: 8/29/2022

SIE

Date: 5/27/2022

Series 7

Date: 9/25/2012

FINRA

Current Firm

BANGERTER FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BANGERTER FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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