Eric has more than 30 years of financial services industry experience. In his most recent role on Wall Street, Eric was a Senior Managing Director and Complex Director for RBC Wealth Management’s largest single branch Complex, responsible for 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 leads 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 is based on his experience running J.B. Hanauer & Co., LLC’s retail branches, a fixed income boutique with more than 160 Advisors, which was then were 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, along with a New Jersey life insurance license.