Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Caindec is a financial advisor with over 25 years of experience in the financial services industry. Eric is currently registered with Wells Fargo Clearing Services, LLC, and has been with the firm since 2020. Prior to joining Wells Fargo Clearing Services, LLC, Eric worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bank of America Investment Services, Inc. Eric holds a Series 63, Series 65, Series 7, and Series 31 license.
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.
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2
CA
12/04/2020 - Present
Wells Fargo Clearing Services, LLC (CORTE MADERA CA)
CA
10/23/2009 - 12/11/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MILL VALLEY CA)
CA
05/09/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN RAFAEL CA)
NY
07/12/1996 - 05/19/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 06/07/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/31/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 05/28/1996
Series 7 - General Securities 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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