Eric Warren
Eric Warren is a CFP-designated registered investment advisor at Fifth Third Securities, INC., based in Lexington, KY, with 20 years of industry experience. Eric operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 43,031 clients with $9.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.35% |
| $500K - $750K | 1.25% |
| $750K - $1.0M | 1.10% |
| $1.0M - $2.0M | 1.00% |
| $2M+ | 0.80% |
Fees are negotiable. In the Passageway One Program, if the client selects to receive the Tax Overlay Service, this optional service has an additional fee on top of the Passageway Program Standard Fee Schedule.
Fee Estimator
Location
250 West Main Street, Suite 100, Lexington, KY, 40507
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2015Other Business Activities
Eric provides logistical assistance for online re-sales through eBay, spending minimal time on this activity. This activity is not securities related and will not interfere with his duties at the firm.
Employment History
Current Registrations
Fifth Third Securities, INC.
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Hantz Financial Services, INC.Broker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.