Erick J. Palacios

PLAN TO PROSPER WEALTH MANAGEMENT

Ormond Beach, FL 32174

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CRD#: 4557570

Professional summary

Erick Jose Raul Palacios, who also goes by Erick Jose Paul Palacios, Erick Jose Raul Palacios Vargas, is a registered financial advisor currently at PLAN TO PROSPER WEALTH MANAGEMENT located in Ormond Beach, Florida.

Erick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Erick has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erick Jose Paul Palacios | Erick Jose Raul Palacios Vargas

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) Entity: Independent Insurance Agent Activity: Investment-Related Address: 101 2nd Street, Suite 401, Holly Hill, FL 32114 Description: Providing insurance solutions to clients. Position & title: Insurance Agent Start Date: 12/2014 Time Management: 5hrs/month during business trading hours Duties: Serving the needs of clients who need insurance. 2) Entity: Palacios Real Estate Holdings, LLC Activity: Not Investment-Related Address: 595 W. Granada Blvd., Suite K, Ormond Beach, FL 32174 Description: The entity owns the property indicated at the above address. Position & Title: Managing Member Start Date: 7/2023 Time Management: Less than 1 hour per month dedicated to the management of the property. Duties: Property Manager handling lease agreements and rental contracts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erick Jose Raul Palacios'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®

None

Experience

Current

September 18, 2023 - Present

PLAN TO PROSPER WEALTH MANAGEMENT

Office #1: 595 W. Granada Boulevard Suite K, Ormond Beach, FL 32174

RIA

CRD#: 327660

Ormond Beach, FL

Past

January 2, 2015 - November 30, 2023

XCEL WEALTH MANAGEMENT, LLC

RIA

CRD#: 158863

HOLLY HILL, FL

Past

October 25, 2014 - August 16, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Holly Hill, FL

Past

September 6, 2002 - June 16, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

JACKSONVILLE, FL

Past

August 14, 2002 - June 16, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 14, 2002 - June 16, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

PLAN TO PROSPER WEALTH MANAGEMENT

PALACIOS WEALTH MANAGEMENT, LLC | PLAN TO PROSPER WEALTH MANAGEMENT

CRD#: 327660 / SEC#: 801-131973

RIA

Registered Investment Advisory firm - (2/13/2025 Approved)

Florida

Registered Investment Advisory firm - (10/7/2025 Terminated)

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).

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

Florida
(9/18/2023)

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: 12/9/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/2014

General Securities Representative Examination

Current Firm

PLAN TO PROSPER WEALTH MANAGEMENT

PALACIOS WEALTH MANAGEMENT, LLC | PLAN TO PROSPER WEALTH MANAGEMENT

CRD#: 327660 / SEC#: 801-131973

RIA

Registered Investment Advisory firm - (2/13/2025 Approved)

Florida

Registered Investment Advisory firm - (10/7/2025 Terminated)

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Contact information

Main Address

595 W. Granada Boulevard Suite K, Ormond Beach, FL 32174

Mailing Address

Phone number

(386) 271-2127

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 BROCHURE (1/14/2025)

Regulatory assets under management

Total Number of Accounts	1,030
AUM (Assets Under Management)	$ 149,121,483

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Erick J. Palacios

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erick Jose Raul Palacios's CRS (Customer Relationship Summary).

Certified licenses

Experience

XCEL WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PLAN TO PROSPER WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 12/9/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/25/2014

Current Firm

PLAN TO PROSPER WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLAN TO PROSPER WEALTH MANAGEMENT

TRUST BUT VERIFY

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