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ES

Eric Stauffer

401K GENERATION
Boynton Beach,, FL
Some features on this profile are disabled
CRD#: 6721040
ES

Professional summary

Eric Stauffer, who also goes by Eric Michael Stauffer, is a registered financial advisor currently at 401K GENERATION located in Boynton Beach,, Florida.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Eric has worked at 2 firms and has passed the Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Eric Michael Stauffer

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 Stauffer'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®
None

Experience

Current

March 14, 2017 - Present

401K GENERATION

RIA
CRD#: 154279
Boynton Beach,, FL
Past

December 19, 2016 - February 1, 2017

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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".
4G
401K GENERATION
401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES

CRD#: 154279 / SEC#: 801-71606

RIA
Registered Investment Advisory firm - (6/25/2010 Approved)

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
(3/14/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/22/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/2016
General Securities Representative Examination

Current Firm

4G
401K GENERATION
401K GENERATION | WINTER PARK WEALTH MANAGEMENT | RW DIRECT | ROJAS FINANCIAL SERVICES

CRD#: 154279 / SEC#: 801-71606

RIA
Registered Investment Advisory firm - (6/25/2010 Approved)
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Contact information

Main Address
237 S Westmonte Drive Suite 300, Altamonte Springs,, FL 32714
Mailing Address
Phone number
(407) 636-6689
Established
Firm type
Fiscal year end
# of Employees
39

SEC notice filing (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts149
AUM (Assets Under Management)$ 172,885,459

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.

Company Information

401K GENERATION

CRD#: 154279Boynton Beach,, FL

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