Geoffrey D. Erwin
Professional summary
Geoffrey Dale Erwin, CFP®, who also goes by Geoff Erwin, is a registered financial advisor currently at BAKERAVENUE located in Southlake, Texas.
Geoffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Geoffrey has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Geoffrey Dale Erwin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 2022 - Present
BAKERAVENUE
Office #1: 550 Reserve St #150, Southlake, TX 76092July 13, 2018 - October 1, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 20, 2006 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
August 22, 2002 - July 13, 2018
STRATEGIC ADVISERS LLC
December 10, 1997 - October 1, 2021
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/2/2022)
(1/20/2022)
(1/20/2022)
Exams
Series 7TO
Date: 12/13/2022
General Securities Representative ExaminationCurrent Firm
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,138 |
| AUM (Assets Under Management) | $ 3,771,014,366 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/05/2025 | ||
| 08/28/2024 | ||
| 04/02/2024 | ||
| 03/14/2023 |
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.
