Eric J. Schwartz

KLAAS FINANCIAL ASSET ADVISORS.

FITCHBURG, WI 53719

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CRD#: 6229045

Professional summary

Eric James Schwartz, CFP® is a registered financial advisor currently at KLAAS FINANCIAL ASSET ADVISORS, LLC. located in Fitchburg, Wisconsin.

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 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Income Management

Employee and Employer Plan Ben...

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric James Schwartz'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: 2016

Experience

Current

December 7, 2020 - Present

KLAAS FINANCIAL ASSET ADVISORS, LLC.

Office #1: 5951 Mckee Rd Ste 200, Fitchburg, WI 53719

RIA

CRD#: 121399

FITCHBURG, WI

Past

March 8, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

MIDDLETON, WI

Past

March 8, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

MIDDLETON, WI

Past

November 13, 2014 - February 23, 2017

WEA FINANCIAL ADVISORS, INC.

RIA

CRD#: 144919

MADISON, WI

Past

August 6, 2013 - February 23, 2017

WEA INVESTMENT SERVICES, INC.

CRD#: 126907

MADISON, WI

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".

KLAAS FINANCIAL ASSET ADVISORS, LLC.

CRD#: 121399 / SEC#: 801-79516

RIA

Registered Investment Advisory firm - (4/9/2014 Approved)

Illinois

Registered Investment Advisory firm - (4/10/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/10/2014 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

Illinois
(12/7/2020)

IAR

Wisconsin
(12/7/2020)

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 65

Date: 9/25/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/6/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KLAAS FINANCIAL ASSET ADVISORS, LLC.

CRD#: 121399 / SEC#: 801-79516

RIA

Registered Investment Advisory firm - (4/9/2014 Approved)

Illinois

Registered Investment Advisory firm - (4/10/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/10/2014 Terminated)

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Contact information

Main Address

4707 Perry Ridge Lane, Loves Park, IL 61111

Mailing Address

Phone number

(815) 877-8440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/26/2025)

APPENDIX 1 - WRAP BROCHURE (8/26/2025)

Regulatory assets under management

Total Number of Accounts	2,539
AUM (Assets Under Management)	$ 632,130,957

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. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric James Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

WEA FINANCIAL ADVISORS, INC.

WEA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

KLAAS FINANCIAL ASSET ADVISORS, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2014

Series 63

Date: 8/19/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2017

Series 6

Date: 8/6/2013

Current Firm

KLAAS FINANCIAL ASSET ADVISORS, LLC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KLAAS FINANCIAL ASSET ADVISORS, LLC.

TRUST BUT VERIFY

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