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Erich W. Spoonhour
TRAJAN WEALTH, L.L.C.
Cary, NC 27513
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CRD#: 4593598
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Professional summary
Erich William Spoonhour, who also goes by Erich W Spoonhour, is a registered financial advisor currently at TRAJAN WEALTH, L.L.C. located in Cary, North Carolina.
Erich is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Erich has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erich W Spoonhour
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.
Erich W. Spoonhour has a financial industry affiliated business as an insurance agent. Not more than 30% of his time is spent on this activity. From time to time, he offers clients advice or products from this activity. Mr. Spoonhour may receive separate yet typical compensation in the form of commissions for the sale of insurance products (i.e. annuities) with commission and/or revenue sharing arrangements typically ranging from 3% to 7%. These practices represent a conflict of interest because it gives Mr. Spoonhour an incentive to recommend products based on the commission amount received. This conflict is mitigated by the fact that Mr. Spoonhour has a fiduciary responsibility to place the best interest of the client first and clients are not required to purchase any products. Clients have the option to purchase these products through another insurance agent of their choosing.
CRS (Client Relationship Summary) - RIA
Click below to view Erich William Spoonhour'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
January 5, 2025 - Present
TRAJAN WEALTH, L.L.C.
Office #1: 15000 Weston Parkway Suite 154, Cary, NC 27513RIA
CRD#: 158847
Cary, NC
Past
August 22, 2017 - August 14, 2023
MORGAN STANLEY
RIA
CRD#: 149777
WILMINGTON, NC
Past
August 22, 2017 - August 14, 2023
MORGAN STANLEY
BD
CRD#: 149777
WILMINGTON, NC
Past
June 26, 2015 - March 31, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WILMINGTON, NC
Past
June 26, 2015 - March 31, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WILMINGTON, NC
Past
October 11, 2012 - June 29, 2015
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
HAMPSTEAD, NC
Past
July 11, 2006 - October 10, 2012
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
HAMPSTEAD, NC
Past
September 15, 2005 - June 29, 2015
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
HAMPSTEAD, NC
Past
November 5, 2002 - July 27, 2005
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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".
TW
TRAJAN WEALTH, L.L.C.
TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.
CRD#: 158847 / SEC#: 801-100392
RIA
Registered Investment Advisory firm - (6/29/2015 Approved)California
Registered Investment Advisory firm - (5/25/2016 Terminated)Colorado
Registered Investment Advisory firm - (4/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/14/2012 Terminated)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
North Carolina(1/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TW
TRAJAN WEALTH, L.L.C.
TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.
CRD#: 158847 / SEC#: 801-100392
RIA
Registered Investment Advisory firm - (6/29/2015 Approved)California
Registered Investment Advisory firm - (5/25/2016 Terminated)Colorado
Registered Investment Advisory firm - (4/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/14/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
18700 North Hayden Road Suite 470, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 990-3300
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,595 |
| AUM (Assets Under Management) | $ 1,969,683,196 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRAJAN WEALTH, L.L.C.
CRD#: 158847Cary, NC 27513TRUST BUT VERIFY
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