Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Katten is a financial professional with over 18 years of experience in the industry. Eric is currently registered with Stifel, Nicolaus & Company, Inc. and is licensed in multiple states, including New York, Connecticut and Texas. Eric has previously been registered with other firms including Morgan Stanley and A.G. Edwards & Sons, Inc.. Eric's areas of expertise include financial planning, portfolio management for individuals and businesses, and pension consulting.
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.
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.
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.
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2
NY
02/19/2019 - Present
Stifel, Nicolaus & Company, Inc. (MELVILLE NY)
NY
06/01/2009 - 10/13/2014
MORGAN STANLEY (JERICHO NY)
NY
11/09/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (JERICHO NY)
NY
11/16/2004 - 11/19/2007
A. G. EDWARDS & SONS, INC. (GARDEN CITY NY)
CA
03/24/2004 - 08/11/2004
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
NY
10/31/2003 - 02/23/2004
AXA ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 12/04/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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