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+1 224 263 7808 (Office)
+1 917 225 6659 (Mobile)
6 Drummond Place, 1st Floor, Suite 1
Red Bank, NJ 07701
Eric has more than 30 years of financial services industry experience. In his previous role on Wall Street, Eric was a Senior Managing Director and Complex Director for RBC Wealth Management’s largest single-branch Complex, responsible for the supervision, compliance, sales, and recruiting for the Complex. He has a significant amount of brokerage firm and broker-dealer experience, with particular expertise in supervision, transactional and fee-based platforms, branch and complex management, and compliance, including suitability-related issues. Eric led a team that administers the Broker Protocol at Capital Forensics, Inc. and has testified as an Expert on Broker Protocol-related matters.
Eric’s depth of knowledge in fixed income stems from his experience running J.B. Hanauer & Co., LLC’s retail branches. The fixed-income boutique, with more than 160 advisors, was later acquired by RBC Wealth Management.
Eric has held other senior roles at well-known firms, including Drexel Burnham, PaineWebber, NatWest Investor Services, Gruntal & Co, and Ryan Beck. Eric has been responsible for the overall product platform available at these firms, including further expanding the third-party offerings, such as Trust Services, Mortgages, and Portfolio Manager offerings.
Eric held the Series 7, 9, 10, 24, 63, and 65 securities industry licenses, as well as a New Jersey life insurance license.