Eric Warren
Eric Warren is a CFP-designated registered investment advisor at Fifth Third Securities, INC., based in Lexington, KY, with 21 years of industry experience. Eric is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 47,014 clients with $11B 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. Maximum fee is 1.50%.
Fee Estimator
Location
2051 Pleasant Ridge Drive, Lexington, KY, 40509
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.
Exams
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