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Detailed Report
ERIC ALAN KLAUS
CRD#: 2508792
IA
Investment Adviser
B
Broker
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 3030 N. Rocky Pt. Dr. W.
Suite 700
Tampa, FL 33607
IFP SECURITIES, LLCCRD#: 297287 3030 NORTH ROCKY POINT DRIVE WEST,
SUITE 700
TAMPA, FL 33607
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2004 (3 years)2 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2016 (5 years)IAINDEPENDENT FINANCIAL PARTNERS (CRD# 125112)2016 - Present (8 years)BIFP SECURITIES, LLC (CRD# 297287)2019 - Present (5 years)BLPL FINANCIAL LLC (CRD# 6413)2016 - 2019 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1997 - 2000 (3 years)
Disclosure(s)
View By:
7/11/2006
Customer Dispute
Settled
License(s)

State Registrations

IA
California 10/25/2016
B
Massachusetts 5/22/2019
B
California 5/22/2019
IA
Massachusetts 9/13/2019
B
Connecticut 5/23/2019
B
New Hampshire 1/3/2022
IA
Delaware 11/3/2016
IA
New Hampshire 1/4/2022
B
Delaware 5/22/2019
B
New York 5/22/2019
IA
Florida 10/13/2016
IA
New York 4/14/2022
B
Florida 5/22/2019
B
Ohio 10/22/2020
IA
Illinois 10/5/2016
IA
Ohio 10/22/2020
B
Illinois 6/20/2019
IA
South Carolina 7/31/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
INDEPENDENT FINANCIAL PARTNERS (CRD#:125112)
3030 N. Rocky Pt. Dr. W. Suite 700, Tampa, FL 33607
Registered with this firm since 10/5/2016
B
IFP SECURITIES, LLC (CRD#:297287)
3030 NORTH ROCKY POINT DRIVE WEST, SUITE 700, TAMPA, FL 33607
Registered with this firm since 5/22/2019
Previous Registration(s)
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B
 10/04/2016 - 05/23/2019 LPL FINANCIAL LLC (CRD#:6413) TAMPA, FL
IA
 01/26/2011 - 10/05/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CLEARWATER, FL
B
 01/21/2011 - 10/05/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) CLEARWATER, FL
IA
 10/23/2009 - 01/25/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CLEARWATER, FL
B
 10/23/2009 - 01/25/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CLEARWATER, FL
IA
 03/01/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PALM HARBOR, FL
B
 02/27/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PALM HARBOR, FL
IA
 09/26/2000 - 03/08/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) CLEARWATER, FL
B
 09/26/2000 - 03/08/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 07/16/1997 - 10/10/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.