EF
Eric J. Flaim
ESTATE PLANNERS OF NEW ENGLAND
Portsmouth, NH 03801
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CRD#: 4618103
EF
Professional summary
Eric Joseph Flaim, who also goes by Eric Flaim, is a registered financial advisor currently at ESTATE PLANNERS OF NEW ENGLAND, LLC located in Portsmouth, New Hampshire and APW CAPITAL, INC. located in Portsmouth, New Hampshire.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Flaim
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-PUBLIC SPEAKING/APPEARANCES; STRATHAM, NH; SVC. DESCRIPTION: SPEAKING; DBA NAME: ERIC FLAIM; START DATE: 08/01/2012; TITLE: OLYMPIAN; DUTIES: SPEAKING; TIME SPENT: 1%. 2-Estate Planners of New England, Investment related:1 New Hampshire Ave, Portsmouth, NH, 03801, RIA, Managing Director/IAR, Start 08/31/2015, 150 hours/month, Providing advisory and fixed insurance services. 3. APW Capital; investment related: Yes; Location of the business: 100 Enterprise Dr #104, Rockaway NJ 07866; Description of the business: Independent Broker-Dealer to transact business which would include 529 Plans, variable annuities, alternative investments, and variable universal life insurance products.; Position Title: Agent Representative; Responsibilities Duties: To provide those products that best meet the solutions to our clients needs through a broker-dealer framework. These would include 529 plans, Variable annuities, Variable life insurance, Alternative investments and private placement offerings.; Start date with business: 2015-05-15; Hours devoted to business during trading hours: 3; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 10. 4. Stratham Republican Comm, Investment related:No, 10 Bunker Hill Ave, Stratham, NH, 03885, Volunteer for political organization, Director of Membership, 11/01/2021, 2 hrs/mo, Attend meetings, assist people that want to join.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Joseph Flaim'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 21, 2015 - Present
ESTATE PLANNERS OF NEW ENGLAND, LLC
Office #1: 1 New Hampshire Ave Suite 125, Portsmouth, NH 03801RIA
CRD#: 133353
Portsmouth, NH
Current
May 14, 2015 - Present
APW CAPITAL, INC.
Office #1: 1 New Hampshire Drive Suite 125, Portsmouth, NH 03801BD
CRD#: 43814
Portsmouth, NH
Past
April 17, 2009 - May 14, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PORTSMOUTH, NH
Past
April 17, 2009 - May 14, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PORTSMOUTH, NH
Past
October 4, 2005 - April 21, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
MANCHESTER, NH
Past
October 4, 2005 - April 21, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
MANCHESTER, NH
Past
January 13, 2004 - October 12, 2005
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
LEBANON, NH
Past
January 12, 2004 - October 12, 2005
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
May 2, 2003 - December 19, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SOUTH BURLINGTON, VT
Past
February 17, 2003 - December 19, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
California(9/4/2019)
RR
Florida(5/14/2015)
IAR
Florida(7/9/2015)
RR
Maine(5/14/2015)
IAR
Maine(12/15/2020)
RR
Massachusetts(5/14/2015)
IAR
Massachusetts(6/8/2015)
RR
New Hampshire(5/14/2015)
IAR
New Hampshire(5/21/2015)
RR
New York(5/14/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EP
ESTATE PLANNERS OF NEW ENGLAND, LLC
ESTATE PLANNERS OF NEW ENGLAND, LLC | FIDUCIARY ADVISOR SOLUTIONS
CRD#: 133353 / SEC#: 801-64743
RIA
Registered Investment Advisory firm - (6/28/2012 Terminated)Florida
Registered Investment Advisory firm - (7/9/2015 Approved)Maine
Registered Investment Advisory firm - (12/15/2020 Approved)Massachusetts
Registered Investment Advisory firm - (3/27/2013 Approved)New Hampshire
Registered Investment Advisory firm - (6/28/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 New Hampshire Ave Suite 125, Portsmouth, NH 03801
Mailing Address
Phone number
(603) 766-4951
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 275 |
| AUM (Assets Under Management) | $ 52,000,000 |
Red Flags
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Company Information
ESTATE PLANNERS OF NEW ENGLAND, LLC
CRD#: 133353Portsmouth, NH 03801TRUST BUT VERIFY
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