Erik N. Mosholt

46 PEAKS INVESTMENT ADVISORY GROUP

Newtown, PA 18940

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CRD#: 2016965

Professional summary

Erik Nmn Mosholt, CFP®, who also goes by Erik Mosholt, is a registered financial advisor currently at 46 PEAKS INVESTMENT ADVISORY GROUP located in Newtown, Pennsylvania.

Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Erik has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erik Mosholt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Nmn Mosholt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

February 19, 2020 - Present

46 PEAKS INVESTMENT ADVISORY GROUP

Office #1: 760 Newtown Yardley Road Suite 114, Newtown, PA 18940

RIA

CRD#: 306902

Newtown, PA

Past

April 2, 2012 - February 10, 2020

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PRINCETON, NJ

Past

September 7, 2006 - June 6, 2013

KINGSBRIDGE ADVISORS, LLC

RIA

CRD#: 126936

POINT PLEASANT BEACH, NJ

Past

August 8, 2006 - April 12, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

PRINCETON, NJ

Past

July 22, 2005 - March 4, 2020

KB FINANCIAL PARTNERS, LLC

RIA

CRD#: 119166

PRINCETON, NJ

Past

March 17, 2004 - August 11, 2004

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

June 1, 2000 - August 11, 2004

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 1, 1997 - July 30, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

December 19, 1990 - January 1, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

46 PEAKS INVESTMENT ADVISORY GROUP

46 PEAKS INVESTMENT ADVISORY GROUP | 46 PEAKS LLC

CRD#: 306902 / SEC#: 801-117945

RIA

Registered Investment Advisory firm - (1/10/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/29/2024)

IAR

New Jersey
(3/12/2020)

IAR

Pennsylvania
(2/19/2020)

IAR

Texas
(9/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/18/1994

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/11/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/2004

General Securities Principal Examination

Current Firm

46 PEAKS INVESTMENT ADVISORY GROUP

46 PEAKS INVESTMENT ADVISORY GROUP | 46 PEAKS LLC

CRD#: 306902 / SEC#: 801-117945

RIA

Registered Investment Advisory firm - (1/10/2020 Approved)

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Contact information

Main Address

760 Newtown Yardley Road Suite 114, Newtown, PA 18940

Mailing Address

Phone number

(215) 497-8310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

46 PEAKS INVESTMENT ADVISORY GROUP, LLC ADV BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	402
AUM (Assets Under Management)	$ 212,315,745

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Erik N. Mosholt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Nmn Mosholt's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

KINGSBRIDGE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

KB FINANCIAL PARTNERS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

46 PEAKS INVESTMENT ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 3/18/1994

Series 65

Date: 3/11/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1990

Series 24

Date: 1/20/2004

Current Firm

46 PEAKS INVESTMENT ADVISORY GROUP

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

46 PEAKS INVESTMENT ADVISORY GROUP

TRUST BUT VERIFY

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