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EP

Eric C. Peck

SOUTHPORT STATION FINANCIAL MANAGEMENT
Southport, CT 06890
Some features on this profile are disabled
CRD#: 6711989
EP

Professional summary

Eric Carl Peck is a registered financial advisor currently at SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC located in Southport, Connecticut.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Eric has worked at 1 firm and has passed the Series 65 exam.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Carl Peck'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

August 25, 2020 - Present

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

Office #1: 368 Center Street, Southport, CT 06890
RIA
CRD#: 146270
Southport, CT

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".
SS
SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC
SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

CRD#: 146270 / SEC#: 801-68863

RIA
Registered Investment Advisory firm - (2/28/2008 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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(8/25/2020)
IAR
Texas
(2/22/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/4/2020
Uniform Investment Adviser Law Examination

Current Firm

SS
SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC
SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

CRD#: 146270 / SEC#: 801-68863

RIA
Registered Investment Advisory firm - (2/28/2008 Approved)
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Contact information

Main Address
368 Center Street, Southport, CT 06890
Mailing Address
Phone number
(203) 254-2333
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (5 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

ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts385
AUM (Assets Under Management)$ 183,877,401

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

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

CRD#: 146270Southport, CT 06890

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