01
Operational Strategy & Scalability
Eric leads the operating infrastructure that enables SEIA to grow while maintaining consistent service, clear processes, and strong support for advisors and clients.
Eric
Rosen
Eric Rosen is the Chief Operating Officer of Signature Estate & Investment Advisors (SEIA). Since joining the firm in 2016, he has helped build the operational, regulatory, and technology foundation that enables SEIA advisors to serve clients with consistency as the firm grows.
Eric’s focus is on turning a complex wealth-management platform into a coordinated client experience. Comprehensive advice depends on more than investment and planning expertise. It also requires strong compliance practices, reliable trading and operations, secure technology, effective integrations, and clear processes that allow advisors to remain focused on the people they serve.
As COO, Eric leads cross-functional collaboration across Compliance, Trading, Operations, Technology, Integrations, and Human Resources. His leadership is centered on aligning SEIA’s long-term strategy with the day-to-day execution that supports advisors, clients, and the firm’s continued national growth.
Eric brings a deep understanding of the registered investment advisor landscape and the importance of responsible implementation. In a 2026 interview on alternative investments, he emphasized that sophisticated investment solutions should be connected to a client’s goals, not treated as stand-alone products. He also highlighted the importance of advisor education, operational support, and clear communication around complex investments, including their role in a portfolio, risks, and liquidity considerations.
Before becoming COO, Eric served as SEIA’s Chief Compliance Officer, where he guided regulatory oversight and governance during a period of significant growth and transformation. That experience continues to inform his approach to building scalable systems with transparency, accountability, and continuous improvement.
Eric earned his Bachelor of Arts degree in Economics from the University of California, Santa Barbara. He holds FINRA Series 7, 24, 51, 57, and 66 licenses, as well as California Insurance License #0L09058. Eric resides in Los Angeles.
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Eric’s Specialties
02
Compliance & Regulatory Governance
Drawing on his experience as SEIA’s former Chief Compliance Officer, Eric helps oversee the controls, governance, and accountability that support the firm’s regulatory responsibilities.
03
Technology & Platform Integration
He helps align technology, data, and integrated systems to make advisor workflows more efficient and the client experience more coordinated.
04
Trading & Investment Operations
Eric works across trading and operations to support the accurate, timely, and well-controlled implementation of client investment strategies.
05
Advisor & Client-Service Infrastructure
He develops the processes, resources, and cross-functional coordination that help advisors focus on client relationships and deliver a dependable service experience.
06
Responsible Alternative-Investment Support
Eric helps ensure that the operational and educational framework around alternative investments supports clear communication of portfolio role, risks, and liquidity considerations.