Eric W. Harding

EMPIRIKAL PARTNERS LLC

Phoenix, AZ

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CRD#: 2207823

Professional summary

Eric Wayne Harding, who also goes by Eric W Harding, is a registered financial advisor currently at EMPIRIKAL PARTNERS LLC located in Phoenix, Arizona.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Eric has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric W Harding

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.

EMPIRIKAL PARTNERS LLC - MANAGING MEMBER/INSURANCE AGENT; 11/2011 & 06/2020 - INVESTMENT ADVISOR REPRESENTATIVE (REGISTERED TO BE AN INVESTMENT ADVISOR IN 8/2016); PHOENIX, AZ; INVESTMENT RELATED; INSURANCE SALES AND INVESTMENT ADVISORY SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Wayne Harding'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®

None

Experience

Current

September 7, 2016 - Present

EMPIRIKAL PARTNERS LLC

RIA

CRD#: 282691

Phoenix, AZ

Past

March 18, 2016 - November 2, 2016

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

SCOTTSDALE, AZ

Past

February 2, 2016 - November 2, 2016

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

August 2, 2005 - January 19, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SCOTTSDALE, AZ

Past

February 26, 2002 - December 31, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SCOTTSDALE, AZ

Past

February 26, 2002 - January 19, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SCOTTSDALE, AZ

Past

September 28, 1992 - March 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 16, 1992 - August 26, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Arizona
(9/7/2016)

IAR

California
(6/5/2020)

IAR

Florida
(10/28/2020)

IAR

Georgia
(5/23/2022)

IAR

New Jersey
(7/16/2020)

IAR

New York
(10/12/2022)

IAR

Oklahoma
(7/17/2024)

IAR

Texas
(6/19/2020)

IAR

Wyoming
(5/11/2020)

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

IAR

Series 65

Date: 11/23/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/1992

General Securities Representative Examination

Current Firm

EMPIRIKAL PARTNERS LLC

EMPIRIKAL PARTNERS LLC | MONZON WEALTH

CRD#: 282691 / SEC#:

Arizona

Registered Investment Advisory firm - (9/7/2016 Approved)

California

Registered Investment Advisory firm - (6/5/2020 Approved)

Colorado

Registered Investment Advisory firm - (7/31/2024 Terminated)

Florida

Registered Investment Advisory firm - (10/28/2020 Approved)

Georgia

Registered Investment Advisory firm - (5/18/2022 Approved)

Maryland

Registered Investment Advisory firm - (3/4/2024 Approved)

Mississippi

Registered Investment Advisory firm - (7/31/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (7/16/2020 Approved)

New York

Registered Investment Advisory firm - (10/12/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (3/3/2021 Approved)

Texas

Registered Investment Advisory firm - (6/19/2020 Approved)

Wyoming

Registered Investment Advisory firm - (5/11/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Phoenix, AZ

Mailing Address

Phone number

(480) 558-6167

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 88,000,000

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

Eric W. Harding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Wayne Harding's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/1994

Series 63

Date: 2/12/1992

SIE

Date: 11/2/2016

Series 7

Date: 1/31/1992

Current Firm

EMPIRIKAL PARTNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMPIRIKAL PARTNERS LLC

TRUST BUT VERIFY

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