Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Wolford is a financial professional with over 20 years of experience in the industry. Eric currently holds a Series 65, Series 63, Series 31 and Series 7. Eric is affiliated with MM Ascend Life Investor Services, LLC. Eric has previously been affiliated with firms such as MERCAP SECURITIES, LLC, ING FINANCIAL PARTNERS, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, NEXT FINANCIAL GROUP, INC., CAPITAL BROKERAGE CORPORATION, A I M DISTRIBUTORS, INC., CHASE SECURITIES OF TEXAS, INC., PRUDENTIAL SECURITIES INCORPORATED, DEAN WITTER REYNOLDS INC., and THOMAS JAMES ASSOCIATES, INC.. Eric's professional experience spans several states and has included a wide range of financial service products and markets.
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.
Maintaining registration but not actively providing advisory services
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.
Maintaining registration but not serving clients
1
2
OH
09/29/2015 - Present
MM Ascend Life Investor Services, LLC (CINCINNATI OH)
IN
03/27/2013 - 07/10/2015
MERCAP SECURITIES, LLC (FORT WAYNE IN)
IN
09/10/2012 - 12/31/2012
ING FINANCIAL PARTNERS, INC. (FORT WAYNE IN)
TX
03/01/2010 - 09/22/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (THE WOODLANDS TX)
TX
08/04/2009 - 02/17/2010
NEXT FINANCIAL GROUP, INC. (HOUSTON TX)
VA
08/13/2007 - 02/27/2009
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
TX
09/08/1999 - 10/14/2005
A I M DISTRIBUTORS, INC. (HOUSTON TX)
TX
11/24/1997 - 06/23/1998
CHASE SECURITIES OF TEXAS, INC. (HOUSTON TX)
NY
02/07/1996 - 11/10/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/17/1995 - 01/24/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
03/03/1995 - 03/16/1995
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
IA
Issued 03/23/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 03/02/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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