Eric P. Adler

ADLER FINANCIAL

Oregon, WI

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CRD#: 5936170

Professional summary

Eric Philip Adler, who also goes by Eric Phillip Adler, is a registered financial advisor currently at ADLER FINANCIAL located in Oregon, Wisconsin.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Eric has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Phillip Adler

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.

Name of Business: AFLatex Technologies, Lda. Investment Related: No Address: Lisbon, Portugal Nature of Business: Technology for processing and stabilizing natural rubber and latex Position Held: Director of Finance Start Date: January 2023 Hours per Month: 15 Hours per Month during trading hours: 5 Duties: Manage the finance department of AFLatex Technologies handling contract details, business accounting and taxes, financing opportunities, dividend payouts, etc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Philip Adler'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

October 30, 2020 - Present

ADLER FINANCIAL

RIA

CRD#: 310978

Oregon, WI

Past

January 16, 2018 - October 30, 2020

COORDINATED CAPITAL SECURITIES, INC.

RIA

CRD#: 14762

OREGON, WI

Past

January 16, 2018 - October 30, 2020

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762

OREGON, WI

Past

March 23, 2015 - January 18, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Madison, WI

Past

October 1, 2014 - January 18, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Madison, WI

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

Wisconsin
(10/30/2020)

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 66

Date: 12/1/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/2014

General Securities Representative Examination

Current Firm

ADLER FINANCIAL

ADLER FINANCIAL | ADLER FINANCIAL LLC

CRD#: 310978 / SEC#:

Wisconsin

Registered Investment Advisory firm - (10/28/2020 Approved)

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Contact information

Main Address

Oregon, WI

Mailing Address

Phone number

(608) 200-2220

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 5,966,253

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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Eric P. Adler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Philip Adler's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADLER FINANCIAL

COORDINATED CAPITAL SECURITIES, INC.

COORDINATED CAPITAL SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/1/2014

Current Firm

ADLER FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADLER FINANCIAL

TRUST BUT VERIFY

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