Erik A. Leighton

AXIA ADVISORY

Indianapolis, IN 46240

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CRD#: 5014372

Professional summary

Erik Anson Leighton is a registered financial advisor currently at AXIA ADVISORY located in Indianapolis, Indiana.

Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Erik has worked at 2 firms and has passed the Series 65, Series 7 and Series 6 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.

OWNER: 567 N. HIGHLAND AVE. GROUP, INDIANAPOLIS, IN - GROUP FORMED TO OWN RENTAL PROPERTY**CO-OWNER: FAMILY FARM, MARSHALL COUNTY, INDIANA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Anson Leighton'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

June 5, 2017 - Present

AXIA ADVISORY

Office #1: 20 E. 91st St Ste 202, Indianapolis, IN 46240

RIA

CRD#: 107571

Indianapolis, IN

Past

November 30, 2005 - February 5, 2014

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

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".

AXIA ADVISORY

AXIA ADVISORY | AXIA ADVISORY CORP

CRD#: 107571 / SEC#: 801-42110

RIA

Registered Investment Advisory firm - (8/11/1992 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(6/9/2017)

IAR

Ohio
(6/5/2017)

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 65

Date: 6/9/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/1/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AXIA ADVISORY

AXIA ADVISORY | AXIA ADVISORY CORP

CRD#: 107571 / SEC#: 801-42110

RIA

Registered Investment Advisory firm - (8/11/1992 Approved)

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Contact information

Main Address

20 E. 91st St Ste 202, Indianapolis, IN 46240

Mailing Address

Phone number

(317) 630-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AXIA ADVISORY BROCHURE FOR PRIVATE WEALTH MANAGEMENT 2025 (7/1/2025)

AXIA ADVISORY BROCHURE FOR RETIREMENT PLANS 2025 (7/1/2025)

Regulatory assets under management

Total Number of Accounts	193
AUM (Assets Under Management)	$ 1,840,634,834

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 A. Leighton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Anson Leighton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXIA ADVISORY

ONEAMERICA SECURITIES, INC.

Primary Firm SEC Registration

AXIA ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2017

Series 7

Date: 12/1/2006

Series 6

Date: 11/29/2005

Current Firm

AXIA ADVISORY

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIA ADVISORY

TRUST BUT VERIFY

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