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Eric Falkeis

Chief Operating Officer at Tidal Investments

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Eric Falkeis is Chief Operating Officer of Tidal Investments LLC, a Milwaukee investment adviser managing $45.8B. Eric Falkeis has passed the Series 27, Series 7 and SIE.

Role at Tidal Investments

Title on Schedule A
Chief Operating Officer
Control
Eric Falkeis is a control person of Tidal Investments.
Ownership
An individual ownership band is not available in the source record.
Tenure
Eric Falkeis has held the filed role since December 2023.

The firm

Tidal Investments LLC
Milwaukee, WI

Form ADV filed 27 March 2026

$45.8B AUM343 clients50 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7 · 2014
  3. Passed Series 27 · 2000

Registrations and exams

No current adviser or broker registration. Eric Falkeis has passed 3 qualifying exams.

Examinations

Series 2722 March 2000
Name
Financial and Operations Principal Examination
SIE15 June 2018
Name
Securities Industry Essentials Examination
Series 73 March 2014
Name
General Securities Representative Examination

Individual record

Full name
Eric Walter Falkeis
CRD
4133585
Firm
Tidal Investments LLC
Registration status
No current adviser or broker registration
Firm bio
tidalfinancialgroup.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Tidal identifies Eric Falkeis as Chief of Operations and Co-Founder. The firm lists prior roles as President and COO of Direxion Investments and Director of ETF Operations at U.S. Bank. Official firm biography

Common questions

Where does Eric Falkeis work?

Eric Falkeis has been Chief Operating Officer of Tidal Investments LLC since December 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Does Eric Falkeis have a current investment-adviser registration?

Eric Falkeis has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Eric Falkeis passed?

Eric Falkeis has passed 3 licensing exams: the Series 27, Series 7 and SIE. The earliest, the Series 27, was passed in March 2000.

Source: IAPD individual record, checked 17 October 2026

Leadership at Tidal Investments

Sources

  1. IAPD individual record, CRD 4133585. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Tidal Investments LLC, filed 27 March 2026. Title, control and ownership bands.
  3. Tidal Investments team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Eric Falkeis or Tidal Investments LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.