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Eric Vann Retzlaff

Purshe Kaplan Sterling Investments

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About Eric Vann Retzlaff

Eric Retzlaff is a financial professional with over 25 years of experience in the financial services industry. Eric is currently registered with Purshe Kaplan Sterling Investments. He has a broad range of experience including investments, and direct participation programs.

Firm Information

Eric Retzlaff is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Eric Retzlaff’s Registration & Firm History

NY

02/20/2024 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

CA

01/17/2023 - 10/04/2023

MIT ASSOCIATES, LLC (TIBURON CA)

CA

05/04/2018 - 12/31/2022

CABOT LODGE SECURITIES LLC (Dana Point CA)

CA

08/24/2016 - 05/08/2018

SHOPOFF SECURITIES, INC. (IRVINE CA)

CA

02/10/2016 - 08/22/2016

MOLONEY SECURITIES CO., INC. (Irvine CA)

CA

08/08/2012 - 06/12/2014

ATEL SECURITIES CORPORATION (SAN FRANCISCO CA)

NJ

03/15/2010 - 07/25/2011

LIGHTSTONE SECURITIES, LLC (MAHWAH NJ)

NC

09/25/2006 - 06/22/2009

AXA DISTRIBUTORS, LLC (CHARLOTTE NC)

NY

08/08/1995 - 01/02/2001

OCC DISTRIBUTORS (NEW YORK NY)

CO

09/14/1987 - 12/13/1994

ENDEAVOR GROUP (DENVER CO)

TX

04/03/1991 - 03/02/1994

SWIFT ENERGY MARKETING COMPANY (HOUSTON TX)

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Licenses & Designations

BC

Issued 09/29/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/13/2010

Series 24 - General Securities Principal Examination

BC

Issued 09/28/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 22TO - Direct Participation Programs Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/2010

Series 7 - General Securities Representative Examination

BC

Issued 09/22/2006

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/29/1991

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Eric Vann Retzlaff.
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