Eric M. Felty

EQUITY ADVISORS OF KENTUCKY

St Pete Beach, FL

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CRD#: 6158347

Professional summary

Eric M Felty, CFP®, who also goes by Eric M. Felty, Eric Felty, is a registered financial advisor currently at EQUITY ADVISORS OF KENTUCKY INC located in St Pete Beach, Florida.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Eric has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric M. Felty | Eric Felty

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 M Felty'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

July 26, 2019 - Present

EQUITY ADVISORS OF KENTUCKY INC

RIA

CRD#: 116398

St Pete Beach, FL

Past

January 11, 2017 - March 9, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WESTERVILLE, OH

Past

January 11, 2017 - March 9, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

WESTERVILLE, OH

Past

August 19, 2015 - April 20, 2016

MORGAN STANLEY

RIA

CRD#: 149777

COLUMBUS, OH

Past

January 23, 2015 - April 20, 2016

MORGAN STANLEY

CRD#: 149777

COLUMBUS, OH

Past

September 13, 2013 - August 13, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

MIAMI, FL

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".

EQUITY ADVISORS OF KENTUCKY INC

CRD#: 116398 / SEC#: 801-112311

RIA

Registered Investment Advisory firm - (1/12/2018 Approved)

Kentucky

Registered Investment Advisory firm - (3/22/2018 Terminated)

Michigan

Registered Investment Advisory firm - (3/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(8/17/2023)

IAR

Kentucky
(7/26/2019)

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: 1/20/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/28/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EQUITY ADVISORS OF KENTUCKY INC

CRD#: 116398 / SEC#: 801-112311

RIA

Registered Investment Advisory firm - (1/12/2018 Approved)

Kentucky

Registered Investment Advisory firm - (3/22/2018 Terminated)

Michigan

Registered Investment Advisory firm - (3/23/2018 Terminated)

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Contact information

Main Address

2201 Regency Road Suite 504, Lexington, KY 40503

Mailing Address

Phone number

(502) 829-9244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAK ADV PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 124,997,429

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/24/2025	Cover Page	Report
06/03/2024	Cover Page	Report
06/03/2024	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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Eric M. Felty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric M Felty's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

EQUITY ADVISORS OF KENTUCKY INC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/20/2017

Series 63

Date: 3/28/2014

SIE

Date: 3/9/2017

Series 7

Date: 11/18/2013

Series 6

Date: 9/13/2013

Current Firm

EQUITY ADVISORS OF KENTUCKY INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EQUITY ADVISORS OF KENTUCKY INC

TRUST BUT VERIFY

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