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Erik A. Ermentraut
CETERA INVESTMENT ADVISERS LLC
WILMINGTON, DE 19808
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CRD#: 7286866
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Professional summary
Erik Albert Ermentraut, who also goes by Erik A Ermentraut, Erik Albert Ermentraut, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilmington, Delaware and CETERA WEALTH SERVICES, LLC located in Wilmington, Delaware.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Erik has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erik A Ermentraut | Erik Albert Ermentraut
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) VAN BUREN FINANCIAL GROUP POSITION: Registered Representative NATURE: The entity as a whole provides retirement planning, supported by a host of tax planning, estate planning, investment planning, cash-flow planning, education planning, and any area of financial planning deemed necessary and beneficial for the client. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2023 ADDRESS: 615 W. 18th Street, Wilmington DE 19802, United States DESCRIPTION: I serve as an Associate Financial Advisor. Responsibilities include:?-Build and maintain relationships with current and potential clients-Identify investment opportunities for clients that align with values-Counsel clients on financial options in variety of financial planning topics-Gather data, establishes client goals, and assist in implementation and follow-up of financial plans-Meet with clients to ensure ongoing success of plan, preparing financial planning updates and adjustments as necessary?
CRS (Client Relationship Summary) - RIA
Click below to view Erik Albert Ermentraut'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4550 Linden Hill Rd Suite 100, Wilmington, DE 19808RIA
CRD#: 105644
WILMINGTON, DE
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 615 W. 18th Street, Wilmington, DE 19802BD
CRD#: 13572
WILMINGTON, DE
Past
February 7, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Wilmington, DE
Past
January 18, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WILMINGTON, DE
Past
October 16, 2020 - December 14, 2022
TRINITY WEALTH SECURITIES, L.L.C.
BD
CRD#: 104348
Philadelphia, PA
Past
August 20, 2020 - December 14, 2022
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
Philadelphia, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(9/5/2025)
IAR
Delaware(9/5/2025)
RR
Maryland(9/18/2025)
RR
Nebraska(10/16/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/7/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 10/16/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wilmington, DE 19808TRUST BUT VERIFY
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