Eric J. Pampel

PAMPEL & ASSOCIATES

MONTICELLO, IN 47960

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CRD#: 3180206

Professional summary

Eric Jonathon Pampel is a registered financial advisor currently at PAMPEL & ASSOCIATES, INC. located in Monticello, Indiana.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Eric has worked at 2 firms and has passed the Series 65, Series 66 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.

INDEPENDENT INSURANCE AGENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Jonathon Pampel'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

December 7, 2000 - Present

PAMPEL & ASSOCIATES, INC.

Office #1: 101 S Main St, Monticello, IN 47960

RIA

CRD#: 110660

MONTICELLO, IN

Past

October 1, 1999 - September 9, 2002

ALLEGISONE SECURITIES, INC.

CRD#: 43390

NEWPORT BEACH, CA

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

California
(6/6/2012)

IAR

Indiana
(12/7/2000)

IAR

Michigan
(6/22/2012)

IAR

Texas
(11/19/2015)

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: 8/24/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/12/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/29/1999

General Securities Representative Examination

Current Firm

PAMPEL & ASSOCIATES, INC.

PAMPEL & ASSOCIATES INC | PAMPEL & ASSOCIATES, INC.

CRD#: 110660 / SEC#: 801-41971

RIA

Registered Investment Advisory firm - (8/15/2012 Terminated)

California

Registered Investment Advisory firm - (6/22/2012 Approved)

Idaho

Registered Investment Advisory firm - (10/19/2018 Terminated)

Indiana

Registered Investment Advisory firm - (6/19/2012 Approved)

Michigan

Registered Investment Advisory firm - (8/14/2012 Approved)

Texas

Registered Investment Advisory firm - (4/16/2012 Conditional Restricted)

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

101 S. Main Street, Monticello, IN 47960-4503

Mailing Address

Phone number

(574) 583-7333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	707
AUM (Assets Under Management)	$ 106,000,493

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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Eric J. Pampel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Jonathon Pampel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PAMPEL & ASSOCIATES, INC.

ALLEGISONE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2012

Series 66

Date: 10/12/2000

Series 7

Date: 9/29/1999

Current Firm

PAMPEL & ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PAMPEL & ASSOCIATES, INC.

TRUST BUT VERIFY

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