Erik S. Wolfers

FIRST AND MAIN FINANCIAL

Piedmont, CA

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CRD#: 4214621

Professional summary

Erik Sean Wolfers, CFP® is a registered financial advisor currently at FIRST AND MAIN FINANCIAL located in Piedmont, California.

Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Erik has worked at 2 firms and has passed the 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Sean Wolfers's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

March 29, 2016 - Present

FIRST AND MAIN FINANCIAL

RIA

CRD#: 121359

Piedmont, CA

Past

March 29, 2016 - December 31, 2017

FIRST AND MAIN FINANCIAL

RIA

CRD#: 121359

piedmont, CA

Past

August 22, 2000 - September 29, 2000

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

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".

FIRST AND MAIN FINANCIAL

CRD#: 121359 / SEC#: 801-132059

RIA

Registered Investment Advisory firm - (2/28/2025 Approved)

California

Registered Investment Advisory firm - (11/10/2025 Termination Requested)

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
(3/29/2016)

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 66

Date: 6/7/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/19/2000

General Securities Representative Examination

Current Firm

FIRST AND MAIN FINANCIAL

CRD#: 121359 / SEC#: 801-132059

RIA

Registered Investment Advisory firm - (2/28/2025 Approved)

California

Registered Investment Advisory firm - (11/10/2025 Termination Requested)

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Contact information

Main Address

Piedmont, CA

Mailing Address

Phone number

(510) 601-1935

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (2/17/2025)

Regulatory assets under management

Total Number of Accounts	346
AUM (Assets Under Management)	$ 142,261,821

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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Erik S. Wolfers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Sean Wolfers's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST AND MAIN FINANCIAL

FIRST AND MAIN FINANCIAL

VOYA INVESTMENTS DISTRIBUTOR, LLC

Primary Firm SEC Registration

FIRST AND MAIN FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 6/7/2001

Series 7

Date: 8/19/2000

Current Firm

FIRST AND MAIN FINANCIAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST AND MAIN FINANCIAL

TRUST BUT VERIFY

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