Eric J. Platt

EMPOWER CAPITAL MANAGEMENT

SOMERS, CT

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CRD#: 5737036

Professional summary

Eric Joseph Platt, who also goes by Eric Joseph Platt, is a registered financial advisor currently at EMPOWER CAPITAL MANAGEMENT, LLC located in Somers, Connecticut and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Eric has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Joseph Platt

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Joseph Platt'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®

None

Experience

Current

March 10, 2023 - Present

EMPOWER CAPITAL MANAGEMENT, LLC

RIA

CRD#: 107272

SOMERS, CT

Current

December 22, 2022 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

April 13, 2018 - December 13, 2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

HARTFORD, CT

Past

June 15, 2011 - July 10, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

WINDSOR, CT

Past

December 24, 2009 - May 19, 2011

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

HARTFORD, CT

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".

EMPOWER CAPITAL MANAGEMENT, LLC

EMPOWER CAPITAL MANAGEMENT, LLC | MAXIM CAPITAL MANAGEMENT, LLC | GW CAPITAL MANAGEMENT LLC | GREAT-WEST CAPITAL MANAGEMENT, LLC

CRD#: 107272 / SEC#: 801-52309

RIA

Registered Investment Advisory firm - (6/28/1996 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.

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

Connecticut
(12/22/2022)

IAR

Connecticut
(3/10/2023)

Georgia
(12/22/2022)

Indiana
(12/22/2022)

New York
(12/22/2022)

Texas
(12/22/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/11/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/13/2018

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/17/2011

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

EMPOWER CAPITAL MANAGEMENT, LLC

EMPOWER CAPITAL MANAGEMENT, LLC | MAXIM CAPITAL MANAGEMENT, LLC | GW CAPITAL MANAGEMENT LLC | GREAT-WEST CAPITAL MANAGEMENT, LLC

CRD#: 107272 / SEC#: 801-52309

RIA

Registered Investment Advisory firm - (6/28/1996 Approved)

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Contact information

Main Address

8515 East Orchard Road 2t3, Greenwood Village, CO, 80111

Mailing Address

Phone number

(303) 737-3000

Established

Firm type

Fiscal year end

# of Employees

321

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

EMPOWER CAPITAL MANAGEMENT, LLC PART 2A BROCHURE (3/31/2025)

EMPOWER CAPITAL MANAGEMENT, LLC DEFINED BENEFIT AND DEFINED CONTRIBUTION PLANS - PART 2A BROCHURE (3/31/2025)

EMPOWER CAPITAL MANAGEMENT, LLC NON-QUALIFIED DEFERRED COMPENSATION PLANS - PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	155
AUM (Assets Under Management)	$ 68,344,867,702

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
07/18/2024	Cover Page	Report
10/27/2023	Cover Page	Report
04/14/2023	Cover Page	Report
03/29/2023	Cover Page	Report

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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Firm Stability Insights

Eric J. Platt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Joseph Platt's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Primary Firm SEC Registration

EMPOWER CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/11/2018

SIE

Date: 10/1/2018

Series 6

Date: 4/13/2018

Series 26

Date: 8/17/2011

FINRA

Current Firm

EMPOWER CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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