Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Friel is a financial professional with over 20 years of experience in the securities industry. Eric is currently registered with Oppenheimer & Co. Inc. Prior to that, Eric was employed by COWEN AND COMPANY, UBS SECURITIES LLC, BEAR, STEARNS & CO. INC., FIRST UNION SECURITIES, INC. and FIRST UNION BROKERAGE SERVICES, INC.. Eric has a Series 7, Series 24 and Series 63 license and holds a SIE certification. Eric holds registrations in 53 states and is active in both the broker-dealer and investment advisor space.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
08/29/2023 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
CT
05/12/2022 - 07/18/2023
COWEN AND COMPANY (Stamford CT)
NY
05/22/2018 - 05/16/2022
UBS SECURITIES LLC (NEW YORK NY)
NY
06/26/2003 - 06/12/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
05/22/2002 - 08/26/2002
BEAR, STEARNS & CO. INC. (NEW YORK NY)
MO
10/01/2000 - 04/05/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
09/23/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BC
Issued 06/28/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2018
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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