Erik A. Stoltz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Erik Augustin Stoltz, who also goes by Eric Augustin Stoltz, was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 2013. Erik had worked at 3 firms and has passed the Series 66, SIE, Series 50 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2019 - January 18, 2022
PTMA INVESTMENT ADVISORS
January 14, 2016 - May 31, 2019
PRUDENT MAN ADVISORS, INC.
November 21, 2013 - January 18, 2022
PMA SECURITIES, LLC
Primary Firm SEC Registration
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 504 |
| AUM (Assets Under Management) | $ 27,791,353,702 |
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.
