EF
Eric M. Flaten
SIMPLICITY WEALTH
East Wenatchee, WA
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CRD#: 2816498
EF
Professional summary
Eric Michael Flaten, AIF® is a registered financial advisor currently at SIMPLICITY WEALTH located in East Wenatchee, Washington.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Eric has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
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.
1) WA Insurance Producer License (Life, Disability, Variable Life, Variable Annuity); ePersonal Insurance; investment related; independent insurance agent; license effective 07/2009; less than 5 hrs/mo during trading; sale of insurance policies 2) Pro-Vision Realty, Inc., non-investment related. 32025 108th Ave SE, Auburn, WA 98092. Real Estate broker beginning in July 2018. 10 hours per month, 0 trading hours. Obtained real estate broker license for personal and family use only. 3) ePersonal Financial, LLC; investment related; 355 Pugsley Pl NW, East Wenatchee, WA 98802; financial advisory services; Financial Founder & Senior Advisor; 11/2016; DBA to market financial advisory services. 4) ePersonal College LLC; non-investment related. College Planning and Admission services, provide college planning services to families & students. 80 hours per month, 4 hours per month during trading hours. 5) Legacy Landing Homeowners Association; non-investment related. Treasurer of the board beginning in March 2023. Non-compensated board position. Duties include; annual budgeting, attending board meetings, tax and state filings, and paying vendors. less than 5 hours per month, 0 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Michael Flaten'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®
Experience
Current
February 19, 2025 - Present
SIMPLICITY WEALTH
RIA
CRD#: 300572
East Wenatchee, WA
Past
August 2, 2024 - February 14, 2025
LIFEPRO ASSET MANAGEMENT
RIA
CRD#: 285252
East Wenatchee, WA
Past
September 26, 2016 - October 18, 2024
SOWELL MANAGEMENT
RIA
CRD#: 127145
East Wenatchee, WA
Past
November 13, 2015 - March 1, 2016
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
Past
September 11, 2015 - November 16, 2015
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
PORT ORCHARD, WA
Past
September 3, 2015 - January 3, 2017
CONCERT WEALTH MANAGEMENT
RIA
CRD#: 141253
PORT OAKLAND, WA
Past
June 1, 2009 - September 24, 2015
MORGAN STANLEY
RIA
CRD#: 149777
SILVERDALE, WA
Past
June 1, 2009 - September 24, 2015
MORGAN STANLEY
BD
CRD#: 149777
SILVERDALE, WA
Past
February 22, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SEATTLE, WA
Past
February 22, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SEATTLE, WA
Past
March 28, 2003 - February 25, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SEATTLE, WA
Past
March 28, 2003 - February 25, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SEATTLE, WA
Past
August 13, 1999 - April 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BELLEVUE, WA
Past
November 26, 1996 - April 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 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(2/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
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Contact information
Main Address
475 Springfield Ave. Suite #1, Summit, NJ 07901
Mailing Address
Phone number
(844) 220-8326
Established
Firm type
Fiscal year end
# of Employees
242
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,573 |
| AUM (Assets Under Management) | $ 3,598,410,848 |
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.
