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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric William Rumbaugh is a financial professional with over 29 years of experience in the financial services industry. Eric currently holds the title of Registered Representative and Investment Advisor Representative at Osaic Wealth, Inc. located in Houston, TX. Eric has worked for a number of firms over the years, including Waddell & Reed, Ameriprise Financial Services, Inc., and Lincoln Financial Securities, Inc., gaining a broad understanding of the financial services landscape. Eric has a wide range of licenses and certifications, including Series 4, 7, 8, 9, 10, 24, 31, 63, and 65, demonstrating his commitment to ongoing professional development and expertise. Eric is also licensed in multiple states and is dedicated to providing comprehensive financial planning and investment advice to individuals, families, and businesses. Eric is passionate about helping his clients achieve their financial goals and understands that each client has unique needs and aspirations.
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.
A percentage of the total value of assets under management is charged.
1
2
TX
01/24/2025 - Present
Osaic Wealth, Inc. (HOUSTON TX)
TX
05/01/2015 - 11/06/2019
WADDELL & REED (LEAGUE CITY TX)
TX
10/05/2009 - 05/14/2015
AMERIPRISE FINANCIAL SERVICES, INC. (HOUSTON TX)
TX
10/06/1994 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (FRIENDSWOOD TX)
IA
Issued 09/09/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/2000
Series 4 - Registered Options Principal Examination
BC
Issued 03/15/1999
Series 24 - General Securities Principal Examination
BC
Issued 09/04/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 10/05/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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