One of the most important decisions an investor will ever make is the selection of the investment professional they choose for advice and consultation on financial matters. So please take look at the profile below to learn more about Eric and his professional experience.
COMMITMENT TO CLIENTS:
Eric’s clients compose a diverse group of individuals, who share a common thread: they trust him to help them make intelligent investment decisions as they work toward their financial goals. His role is one of providing education and consultation on investment alternatives, asset allocation, diversification, risk analysis and the building and accumulation of wealth over the long run.
Eric’s clients seek his advice and consultation on a regular basis for all kinds of financial and investment related questions, but especially during, 1) Job Change, 2) Death, 3) Divorce, and 4) Retirement. These 4 important life altering events carry significant financial ramifications and require detailed thought, analysis, planning and action.
BELIEFS:
Eric believes that nothing about life, or investing, is entirely risk-free. He believes there is no substitute for knowledge, experience or integrity. Eric works to help mitigate investment risk through asset allocation and carefully diversifying assets. Diversification and asset allocation do not guarantee a profit nor protect against loss. They are methods used to help manage risk. Thus, Eric believes it is important to take time to get to know each client, and for them to get to know him.
Eric also believes that wealth is built over time. He believes the process of building wealth is founded in the basic fundamental principles of common sense, education, planning, persistence, consistency, logic, action, and desire. Eric understands that every client is different, and he helps tailor and build customized investment portfolios to meet the individual needs and risk tolerance of each client.
LICENSING AND EDUCATION:
The securities industry is regulated by FINRA (The Financial Industry Regulatory Authority), the SEC (Securities and Exchange Commission), and other SRO’s (Self-Regulatory Organizations).
Eric’s CRD license number is 2564679.
Eric is proud to have served his clients since 1994.
Series 7 – General Securities Representative: Eric has studied general securities as mandated by law which topics encompass: Equity Securities, Debt Securities, Municipals, Options, Trading Markets, Margin, New Issues, Investment Companies, Retirement Plans, Regulations, Taxes and Tax Shelters, and Investment Analysis.
Series 63 – Uniform Securities Agent: Eric has studied Uniform State Law as mandated by law which topics encompass: Uniform Securities Act and Federal Securities Laws, Regulatory Oversight, Penalties and General Provisions, Registration of Securities and Licensing Requirements.
Series 65 – Uniform Investment Advisor: Eric has studied Uniform Investment Advisor Law as mandated by law which topics encompass: Uniform Securities Act, Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, Investment Company Act of 1940, Securities and exchange release IA-1092, and Ethical business practices of Investment Advisor and all related provisions and regulations.
Arizona Insurance License number 878295 – Life, Disability and Variable Contracts:
Eric has studied Arizona, Life, Disability and Variable Contracts, as mandated by law which topics encompass: Basic Principals of Life Insurance, Legal Concepts of Insurance Contract, Uses of Life Insurance, Life Insurance Policies, Life Insurance Policy Provisions, Retirement Plans, Annuities, Variable Contracts and Arizona Insurance Laws.
Eric is currently registered and licensed to conduct securities business in the following states:
Alaska, Arizona, California, Georgia, Massachusetts, Ohio, Texas, and Utah.
Eric holds a Bachelor of Arts degree in Interdisciplinary Studies with emphasis in Business, Economics and Geography from the University of Arizona, and a Master of Business Administration degree from the University of Phoenix.
LIFESTYLE, INTERESTS & HOBBIES:
Eric is 50 years old, and has lived in Scottsdale, Tucson and Phoenix. Eric is married to Stephanie, a Chiropractic Physician who began her practice in 1991 and served patients until December 2006. Stephanie retired from her active Chiropractic practice in December 2006 and worked as a remote Medical Records Analyst before she began working for the State of Arizona where she is currently the Medical Claims and Coding Manager with the Division of Developmental Disabilities. Eric has always found politics interesting, and has been a strong conservative since his involvement with “The College Republicans” while attending the University of Arizona in the late 1980’s. Eric is an avid outdoorsman. Eric’s favorite hobbies and activities include fishing, hunting, camping and hiking.