Erica N. Grundza

ROOT FINANCIAL PARTNERS

Trinity, FL

CRD#: 6944260

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Professional summary

Erica Nicole Grundza, CFP®, who also goes by Erica Grundza, Erica Sittig, is a registered financial advisor currently at ROOT FINANCIAL PARTNERS located in Trinity, Florida.

Erica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Erica has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erica Grundza | Erica Sittig

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 Erica Nicole Grundza'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®

CRD#: 2881

Tampa, FL

Past

August 28, 2018 - June 5, 2020

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

CANONSBURG, PA

Past

June 20, 2018 - June 5, 2020

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

CANONSBURG, PA

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".

ROOT FINANCIAL PARTNERS

ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS

CRD#: 290289 / SEC#: 801-125945

RIA

Registered Investment Advisory firm - (7/8/2022 Approved)

California

Registered Investment Advisory firm - (8/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2022 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

Texas
(5/20/2026)

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: 8/27/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2018

General Securities Representative Examination

Current Firm

ROOT FINANCIAL PARTNERS

ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS

CRD#: 290289 / SEC#: 801-125945

RIA

Registered Investment Advisory firm - (7/8/2022 Approved)

California

Registered Investment Advisory firm - (8/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2022 Terminated)

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Contact information

Main Address

801 Barton Springs Rd, Austin, TX 78704

Mailing Address

1106 2nd Street Suite 102, Encinitas, CA 92024

Phone number

(760) 452-0720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/14/2026)

Regulatory assets under management

Total Number of Accounts	4,110
AUM (Assets Under Management)	$ 2,147,774,389

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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Erica N. Grundza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erica Nicole Grundza's CRS (Customer Relationship Summary).

Certified licenses

Experience

BETTERMENT

UNIQUE WEALTH, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

ROOT FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2018

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2018

Current Firm

ROOT FINANCIAL PARTNERS

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROOT FINANCIAL PARTNERS

TRUST BUT VERIFY

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