Eric C. Warters

TPG CAPITAL BD

New York, NY 10106

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CRD#: 5980504

Professional summary

Eric Christopher Warters, who also goes by Eric Christopher Warters, Eric C Warters, Eric Warters, is a registered financial professional currently at TPG CAPITAL BD, LLC located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2012. Eric has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Christopher Warters | Eric C Warters | Eric Warters

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) - BD

Click below to view Eric Christopher Warters'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

February 20, 2025 - Present

TPG CAPITAL BD, LLC

Office #1: 888 7th Street 35th Floor, New York, NY 10106

CRD#: 143876

New York, NY

Past

October 18, 2022 - January 2, 2025

TCG CAPITAL MARKETS L.L.C.

CRD#: 291767

NEW YORK, NY

Past

March 12, 2021 - September 6, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ATLANTA, GA

Past

February 3, 2021 - September 6, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ATLANTA, GA

Past

July 24, 2019 - December 14, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 9, 2015 - July 31, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

August 29, 2012 - July 31, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 25, 2012 - August 1, 2012

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

WEST PALM BEACH, FL

State Registrations and Notice Filings

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

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

New York
(2/20/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/8/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/6/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 8/19/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 7/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TPG CAPITAL BD, LLC

CRD#: 143876 / SEC#: , 8-67616

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

301 Commerce Street Ste 3300, Fort Worth, TX 76102

Mailing Address

301 Commerce Street Ste 3300, Fort Worth, TX 76102

Phone number

(817) 871-4000

Established

Texas since 03/21/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TPG BD ADVISORS, LLC	SOLE MEMBER
DAVIDSON, MARTIN LOUIS	FINOP AND PRINCIPAL FINANCIAL OFFICER	5330788
UMAYAM, MICHAEL	CHIEF COMPLIANCE OFFICER	6814011
WEINGART, JACK CHARLES	CEO	1879144

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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Advisor Monitoring

Firm Stability Insights

Eric C. Warters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Christopher Warters's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCG CAPITAL MARKETS L.L.C.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEWPORT COAST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2015

Series 63

Date: 12/6/2011

Series 79TO

Date: 8/19/2019

SIE

Date: 7/31/2017

Series 7

Date: 10/7/2011

FINRA

Current Firm

TPG CAPITAL BD, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TPG CAPITAL BD, LLC

TRUST BUT VERIFY

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