Eric SinCRD Number: 1918393
Current Firm: Sagepoint Financial, Inc.
Eric Sin (CRD# 1918393) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Scottsdale, AZ and has over 27 years of experience in the finance industry.
Newman's Financial Planning
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Triad Advisors, Inc.
|Sagepoint Financial, Inc.||Phoenix, AZ||Jan 2009 - Current||7|
|Aig Financial Advisors, Inc.||Phoenix, AZ||Nov 2005 - Jan 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1989|
|S65||NASAA Investment Advisors Law Examination||Jun 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management4,385MILLIONS
Total Number of Accounts23,011ACCOUNTS
Average Account Value$190,540
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV