Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Gies is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been active in the financial industry since 1998. Eric is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and a registered investment advisor. Eric offers financial planning, portfolio management and pension consulting. Eric has a wide range of experience having worked with various firms, including Neuberger Berman, LLC and Sanford C. Bernstein & Co., LLC.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
10/14/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PARAMUS NJ)
CT
10/23/2018 - 07/01/2021
WAYPOINT DIRECT INVESTMENTS, LLC (STAMFORD CT)
NY
05/13/2009 - 08/17/2018
BESSEMER INVESTOR SERVICES, INC. (NEW YORK NY)
NY
03/14/2005 - 04/21/2009
NEUBERGER BERMAN, LLC (NEW YORK NY)
NY
12/07/2000 - 03/09/2005
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
10/01/1997 - 12/07/2000
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
IA
Issued 02/09/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 10/21/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/17/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/17/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 09/30/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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