Eric Winterhalter has been President and Chief Compliance Officer, Managing Partner of Tran Capital Management since December 2014, is a control person of the firm and directly owns under 5% of it.
Tran Capital Management, L.P. is a San Rafael, CA firm with $890M under management, 348 clients and 3 advisers in one office, as of its February 2026 filing.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 18 May 2018 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 February 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 October 2014 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 July 2014 |
| Series 7 | General Securities Representative Examination | 21 August 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- General Securities Representative Examination
- Full name
- Eric Arthur Winterhalter
- CRD
- 2264641
- Firm
- Tran Capital Management · CRD 107049
- Role
- President and Chief Compliance Officer, Managing Partner
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Eric Winterhalter work?
Eric Winterhalter has been President and Chief Compliance Officer, Managing Partner of Tran Capital Management, L.P. since December 2014, and is a control person of the firm.
Does Eric Winterhalter have a current investment-adviser registration?
Eric Winterhalter has a current broker registration and no current investment-adviser registration.
What exams has Eric Winterhalter passed?
Eric Winterhalter has passed 5 licensing exams: the Series 7, Series 6, Series 63, Series 65 and Series 26. The earliest, the Series 7, was passed in August 1992. FINRA credited Eric Winterhalter with the SIE, which began in October 2018.
Where was Eric Winterhalter previously registered as an investment adviser?
Eric Winterhalter has past investment-adviser registrations through Tran Capital Management, L.P., February 2015 to December 2025, across 1 firm.
Is Eric Winterhalter registered with FINRA?
Yes. Eric Winterhalter has a current broker registration, under CRD 2264641.
Source: FINRA BrokerCheck
How can I verify Eric Winterhalter’s record?
Search CRD 2264641 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Eric Winterhalter’s full registration record.