Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Finucane is a financial professional with over 20 years of experience in the financial services industry. Eric is currently registered with Northwestern Mutual Investment Services, LLC and is licensed to provide securities and investment advisory services in Arizona, California, Connecticut, Florida, Georgia, Indiana, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Vermont, Virginia and Washington. Prior to joining Northwestern Mutual Investment Services, LLC Eric was a financial advisor with LPL Financial LLC, NewAlliance Investments, Inc., Infinex Investments, Inc., First Union Securities, Inc. and Dean Witter Reynolds Inc. Eric has a strong understanding of the financial markets and a commitment to providing personalized financial advice to his clients. Eric is a dedicated professional with a strong work ethic. Eric is committed to helping his clients achieve their financial goals.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
CT
03/12/2013 - Present
Northwestern Mutual Investment Services, LLC (WEST HARTFORD CT)
CT
06/15/2006 - 02/19/2013
LPL FINANCIAL LLC (AVON CT)
CT
04/02/2004 - 06/20/2006
NEWALLIANCE INVESTMENTS, INC. (VERNON CT)
CT
11/04/2002 - 04/01/2004
INFINEX INVESTMENTS, INC. (MERIDEN CT)
MO
10/01/2000 - 01/09/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/12/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
09/03/1998 - 12/15/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 3/27/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 8/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/18/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/21/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 8/6/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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