Eric Platt
Professional Summary
Eric 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Joseph Platt
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
EMPOWER CAPITAL MANAGEMENT, LLC | MAXIM CAPITAL MANAGEMENT, LLC | GW CAPITAL MANAGEMENT LLC | GREAT-WEST CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
8515 East Orchard Road 2t3, Greenwood Village, CO, 80111Phone Number
(303) 737-1646# of Employees
319SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
165AUM (Assets Under Management)
$77,957,342,110Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/21/2026 | Cover Page | Report |
| 10/27/2025 | Cover Page | Report |
| 07/18/2024 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
EMPOWER CAPITAL MANAGEMENT, LLC | MAXIM CAPITAL MANAGEMENT, LLC | GW CAPITAL MANAGEMENT LLC | GREAT-WEST CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(12/22/2022)
(3/10/2023)
(12/22/2022)
(12/22/2022)
(12/22/2022)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2018About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2011About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Eric Platt's CRS (Customer Relationship Summary).
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