Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Swain is a financial advisor with over 30 years of experience in the financial services industry. Eric is currently registered with Pickwick Capital Partners, LLC and is licensed in California, New Jersey, and New York. Eric has held previous positions at Boustead Securities, LLC, AEON Capital Inc, Wunderlich Securities, Inc., Sanford C. Bernstein & Co., LLC, Xnergy Financial LLC, Securities America, Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., Bear, Stearns & Co. Inc., First Institutional Securities, L.L.C., Broadway Financial Investment Services Corp., and Glickenhaus & Co. - New Jersey. Eric holds the Series 7, Series 52, Series 63, and Series 66 licenses.
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.
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.
1
2
NY
03/10/2020 - Present
Pickwick Capital Partners, LLC (WHITE PLAINS NY)
CA
07/17/2018 - 03/04/2020
BOUSTEAD SECURITIES, LLC (IRVINE CA)
NY
11/15/2017 - 07/12/2018
AEON CAPITAL INC (NEW YORK NY)
NY
11/12/2013 - 09/04/2014
WUNDERLICH SECURITIES, INC. (NEW YORK NY)
NY
01/10/2012 - 02/27/2013
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
CA
03/11/2011 - 12/22/2011
XNERGY FINANCIAL LLC (LOS ANGELES CA)
NJ
10/06/2010 - 12/02/2010
SECURITIES AMERICA, INC. (KINNELON NJ)
NJ
04/02/2007 - 10/17/2008
MORGAN STANLEY & CO. INCORPORATED (MORRISTOWN NJ)
NJ
05/05/2006 - 04/02/2007
MORGAN STANLEY DW INC. (MORRISTOWN NJ)
NJ
08/16/2000 - 05/20/2006
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
NY
09/08/1999 - 08/23/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NJ
03/13/1989 - 09/03/1999
FIRST INSTITUTIONAL SECURITIES, L.L.C. (WEST PATERSON NJ)
NA
02/01/1989 - 03/25/1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
NA
03/19/1985 - 02/01/1989
GLICKENHAUS & CO. - NEW JERSEY
BC
Issued 02/20/2018
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 05/02/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
BC
Issued 04/27/1984
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Eric Swain is the right advisor for you? Invested Better is here to help.
