Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Finch is a financial professional with over 30 years of experience in the industry. Eric is currently registered with Wells Fargo Clearing Services, LLC and is licensed to offer securities and investment advisory services in Missouri. Eric has previously worked at TD Ameritrade, Inc., R.T. Jones Capital Equities, Inc., Pauli & Company, Inc and Scudder Fund Distributors, Inc. Eric holds Series 6, 7, 63, and 66 licenses as well as the SIE. Eric specializes in providing financial advice to individuals, businesses, corporations, charitable organizations, insurance companies, investment companies, state or municipal government entities, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
01/24/2020 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
01/02/2018 - 01/10/2020
TD AMERITRADE, INC. (ST. LOUIS MO)
MO
05/01/1995 - 03/26/1996
R.T. JONES CAPITAL EQUITIES, INC. (ST. LOUIS MO)
MO
06/28/1990 - 08/24/1992
PAULI & COMPANY, INC (ST. LOUIS MO)
NY
06/22/1987 - 08/12/1989
SCUDDER FUND DISTRIBUTORS, INC. (NEW YORK NY)
BOTH
Issued 09/03/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/11/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2017
Series 7 - General Securities Representative Examination
BC
Issued 06/18/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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