EW
Erik R. Wallin
ONE CHARLES PRIVATE WEALTH
Hingham, MA 02043
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CRD#: 4406538
EW
Professional summary
Erik Randall Wallin is a registered financial advisor currently at ONE CHARLES PRIVATE WEALTH located in Hingham, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Hingham, Massachusetts.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Erik has worked at 4 firms and has passed the Series 66, 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) ONE CHARLES PRIVATE WEALTH. INVESTMENT RELATED. 99 DERBY ST SUITE 100 HINGHAM, MA 02043. RIA. MANAGING PARTNER. START 11/13/2015. 200 HOURS/MONTH, 200 DURING TRADING. PROVIDE PORTFOLIO AND STRATEGY MANAGEMENT.
2) PKS Financial-Investment related-80 State St, Albany, NY 12207-Insurance aservices-Insurance agent-11/13/15-30 hrs/mth-100% during securities hrs-Researches & implements fixed insurance products for clients.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Randall Wallin'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®
NoneExperience
Current
May 8, 2017 - Present
ONE CHARLES PRIVATE WEALTH
Office #1: 99 Derby Street Suite 100, Hingham, MA 02043RIA
CRD#: 286635
Hingham, MA
Current
November 13, 2015 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 99 Derby Street Suite 100, Hingham, MA 02043BD
CRD#: 35747
Hingham, MA
Past
November 24, 2015 - March 31, 2017
ONE CHARLES PRIVATE WEALTH, LLC
RIA
CRD#: 281121
HINGHAM, MA
Past
February 8, 2005 - November 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HYANNIS, MA
Past
July 13, 2004 - November 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HYANNIS, MA
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".
OC
ONE CHARLES PRIVATE WEALTH
ONE CHARLES PRIVATE WEALTH | ONE CHARLES PRIVATE WEALTH SERVICES, LLC D/B/A/ CURAFIN ADVISORS | ONE CHARLES PRIVATE WEALTH SERVICES, LLC | ONE CHARLES PRIVATE WEALTH SERVICES
CRD#: 286635 / SEC#: 801-109973
RIA
Registered Investment Advisory firm - (2/15/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/28/2021)
RR
Colorado(10/11/2017)
RR
Connecticut(10/11/2017)
RR
Florida(11/13/2015)
RR
Georgia(10/11/2017)
RR
Idaho(4/6/2022)
RR
Massachusetts(11/13/2015)
IAR
Massachusetts(5/8/2017)
RR
New Hampshire(10/11/2017)
RR
New Jersey(10/28/2021)
RR
New York(11/13/2015)
RR
Ohio(11/13/2015)
RR
Rhode Island(11/13/2015)
RR
West Virginia(10/28/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OC
ONE CHARLES PRIVATE WEALTH
ONE CHARLES PRIVATE WEALTH | ONE CHARLES PRIVATE WEALTH SERVICES, LLC D/B/A/ CURAFIN ADVISORS | ONE CHARLES PRIVATE WEALTH SERVICES, LLC | ONE CHARLES PRIVATE WEALTH SERVICES
CRD#: 286635 / SEC#: 801-109973
RIA
Registered Investment Advisory firm - (2/15/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
99 Derby Street Suite 100, Hingham, MA 02043
Mailing Address
Phone number
(617) 337-4208
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 347 |
| AUM (Assets Under Management) | $ 936,375,657 |
Red Flags
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Company Information
ONE CHARLES PRIVATE WEALTH
CRD#: 286635Hingham, MA 02043TRUST BUT VERIFY
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