Erik K. Morgan
FREESTONE CAPITAL MANAGEMENT | Client Advisor, Senior Partner
Seattle, WA 98104
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CRD#: 2207063
Professional summary
Erik Konrad Morgan is a registered financial advisor currently at FREESTONE CAPITAL MANAGEMENT, LLC located in Seattle, Washington.
Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Erik has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 6 exams.
Biography
For over twenty years, Erik has provided investment and financial advice to some of the Northwest's most successful entrepreneurs and corporate executives. At Freestone, he serves on the investment
committee and is a member of the firm's Board of Directors. Erik came to Freestone from Arthur Andersen where he worked as a Senior Manager in the Private Client Services (PCS) group. At Andersen, he was responsible for the launch and growth of the firm's Investment Advisory Services practice in Washington, Oregon, Idaho and Northern California. In that capacity Erik worked with
affluent clients to build and implement diversified investment portfolios and coordinated wealth management plans. Prior to his time at Arthur Andersen, he was with The Rainier Group in Seattle where he focused on investment management consulting and estate planning
Erik has been recognized by Barron's as the top Financial Advisor in Washington State in 2018, 2017, 2015, 2014 and 2013. Barron's also ranked Erik as one of the top 100 Independent Financial Advisors in the country from 2010-2017.
Question & Answer
What are your service offerings?
Trading individual securities
Financial planning
Philanthropic services
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Konrad Morgan's 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®
NoneExperience
Current
April 25, 2008 - Present
FREESTONE CAPITAL MANAGEMENT, LLC
Office #1: 701 5th Avenue 74th Floor, Seattle, WA 98104RIA
CRD#: 145711
Seattle, WA
Past
January 13, 2006 - January 7, 2015
FREESTONE SECURITIES, LLC
BD
CRD#: 124260
SEATTLE, WA
Past
June 19, 2000 - May 13, 2008
FREESTONE CAPITAL MANAGEMENT INC
RIA
CRD#: 108702
SEATTLE, WA
Past
August 30, 1993 - October 30, 1998
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
January 23, 1992 - March 17, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
January 23, 1992 - March 17, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
FC
FREESTONE CAPITAL MANAGEMENT, LLC
FREESTONE | FREESTONE INVESTMENTS LLC (RELYING ADVISOR) | FREESTONE CAPITAL MANAGEMENT, LLC | FREESTONE ASSET MANAGEMENT | FREESTONE ADVISORS LLC
CRD#: 145711 / SEC#: 801-69073
RIA
Registered Investment Advisory firm - (4/25/2008 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
Washington(4/25/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FC
FREESTONE CAPITAL MANAGEMENT, LLC
FREESTONE | FREESTONE INVESTMENTS LLC (RELYING ADVISOR) | FREESTONE CAPITAL MANAGEMENT, LLC | FREESTONE ASSET MANAGEMENT | FREESTONE ADVISORS LLC
CRD#: 145711 / SEC#: 801-69073
RIA
Registered Investment Advisory firm - (4/25/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
701 5th Avenue 74th Floor, Seattle, WA 98104
Mailing Address
Phone number
(206) 707-7300
Established
Firm type
Fiscal year end
# of Employees
117
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,231 |
| AUM (Assets Under Management) | $ 11,493,619,610 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/16/2025 | ||
| 11/21/2024 | ||
| 09/26/2023 |
Red Flags
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Company Information
FREESTONE CAPITAL MANAGEMENT, LLC
Client Advisor, Senior PartnerCRD#: 145711Seattle, WA 98104TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
