Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Deffenbaugh is a financial professional with over 24 years of experience in the industry. Eric has a wide range of experience, having worked with several firms, including Capital Brokerage Corporation, MML Investors Services, Inc., and USAA Investment Management Company. Currently, Eric is associated with CHARLES SCHWAB & CO., INC. in Phoenix, Arizona. Eric has a strong track record of providing investment advice to clients and has held several securities licenses, including Series 63, 65, 7, 9, 10, 24, and 53. Eric is dedicated to helping 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
03/18/2015 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
CA
08/15/2014 - 10/24/2014
ASSETMARK BROKERAGE, LLC (CONCORD CA)
VA
12/03/2013 - 08/15/2014
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
VA
01/07/2011 - 11/14/2013
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
AZ
02/03/2006 - 12/03/2010
MML INVESTORS SERVICES, INC. (SCOTTSDALE AZ)
TX
06/10/2004 - 11/03/2005
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
IL
02/20/2003 - 01/16/2004
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
TX
09/01/1998 - 01/07/2003
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 3/24/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/20/2009
Series 24 - General Securities Principal Examination
BC
Issued 3/3/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 9/6/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/15/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/28/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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