Associate Vice President, Strategic Wealth Advisors Group, Compliance
Eric serves as the Assistant Vice President of The Network’s Hybrid RIA Compliance department. In this role, Eric reports directly to the Chief Compliance Officer (CCO) regarding issues related to the RIA. His responsibilities include reviewing advisor paperwork, emails, advertising, correspondence and blotters, as well as ensuring that the RIA meets all regulatory standards.
Eric joined The Network in July 2012 as a Compliance Supervisor. With over 20 years of experience in the financial services industry, he began his career in 1996 with E*Trade Securities in Rancho Cordova. During his tenure with E*Trade, Eric held many different positions in operational departments such as trading and purchases & sales. He joined BancWest Investment Services in 2006 as a senior operations specialist, soon moving to the position of compliance officer, and finally regional business supervisor.
Eric is a native of the Bay Area, having grown up in Palo Alto, but now resides in the small Northern California college town of Davis. He enjoys spending time with his wife, Leia, and their three children, Trevor, Bradley and Natalie. The family has a lot of pets to care for, including two dogs, four cats and six chickens. Eric has coached AYSO soccer for over 10 years and is currently active in coaching his daughter’s team. In his free time, he enjoys traveling, hiking, camping, playing ultimate frisbee and rooting for the Giants and 49ers.
- Master of Science in Accountancy, California State University, Sacramento
- Bachelor of Arts in Economics, University of California, Davis
- Securities registrations Series 4, 7, 24 and 53 held through LPL Financial. Series 66 held through Strategic Wealth Advisors Group, and LPL Financial.
- FINRA Series 4: Registered Options Principal Qualification Examination
- FINRA Series 7: General Securities Representative Examination
- FINRA Series 24: General Securities Principal Qualification Examination
- FINRA Series 53: Municipal Securities Principal Qualification Examination
- FINRA Series 66: NASAA Uniform Combined State Law Examination
- Licensed to sell Life / Variable Contracts insurance in the state of California.