EB
Erik M. Bagley
KOTYS WEALTH PROFESSIONALS
FOLSOM, CA
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CRD#: 6824405
EB
Professional summary
Erik Michael Bagley is a registered financial advisor currently at KOTYS WEALTH PROFESSIONALS located in Folsom, California.
Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Erik has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
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.
1) Kickin It LLC; not investment-related; Folsom, CA; youth enrichment; Owner; started 02/2023; approximately 10 hours per month, zero hours during securities trading hours; strategic oversight. 2) Independent Insurance Agent; not investment-related; started 07/2017; zero hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Michael Bagley'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®
NoneExperience
Current
June 4, 2024 - Present
KOTYS WEALTH PROFESSIONALS
RIA
CRD#: 168156
FOLSOM, CA
Past
October 16, 2017 - June 13, 2024
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
FOLSOM, CA
Past
September 14, 2017 - June 13, 2024
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
FOLSOM, CA
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".
KOTYS WEALTH PROFESSIONALS
KOTYS WEALTH PROFESSIONALS | TKG ADVISORS, LLC | THE KOTYS GROUP
CRD#: 168156 / SEC#: 801-118738
RIA
Registered Investment Advisory firm - (5/15/2020 Approved)Alaska
Registered Investment Advisory firm - (10/7/2020 Terminated)Arizona
Registered Investment Advisory firm - (7/8/2020 Terminated)Illinois
Registered Investment Advisory firm - (5/15/2020 Terminated)Indiana
Registered Investment Advisory firm - (7/9/2020 Terminated)Michigan
Registered Investment Advisory firm - (7/8/2020 Terminated)Texas
Registered Investment Advisory firm - (7/8/2020 Terminated)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
California(6/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KOTYS WEALTH PROFESSIONALS
KOTYS WEALTH PROFESSIONALS | TKG ADVISORS, LLC | THE KOTYS GROUP
CRD#: 168156 / SEC#: 801-118738
RIA
Registered Investment Advisory firm - (5/15/2020 Approved)Alaska
Registered Investment Advisory firm - (10/7/2020 Terminated)Arizona
Registered Investment Advisory firm - (7/8/2020 Terminated)Illinois
Registered Investment Advisory firm - (5/15/2020 Terminated)Indiana
Registered Investment Advisory firm - (7/9/2020 Terminated)Michigan
Registered Investment Advisory firm - (7/8/2020 Terminated)Texas
Registered Investment Advisory firm - (7/8/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1111 Glendale Blvd Suite 105, Valparaiso, IN 46383
Mailing Address
Phone number
(219) 465-6924
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 862 |
| AUM (Assets Under Management) | $ 272,141,077 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
