Erik SaundersCRD Number: 1939964
Current Firm: Financial Advocates Investment Management
Erik Saunders (CRD# 1939964) is an Investment Advisor Representative working at Financial Advocates Investment Management in Anacortes, WA and has over 22 years of experience in the finance industry.
Concert Wealth Management
Penn Cove Financial, LLC
Financial Plan, Inc.
|Lpl Financial, LLC||Anacortes, WA||Dec 2014 - Current||3|
|Charles Schwab Bank||Bellingham, WA||Sep 2005 - Dec 2014||9|
|Charles Schwab & Company, Inc.||Bellingham, WA||Sep 2005 - Dec 2014||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1995|
|S66||NASAA Uniform Combined State Law Examination||Jan 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,087MILLIONS
Total Number of Accounts6,384ACCOUNTS
Average Account Value$170,222
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
AK, AZ, CA, CO, FL, HI, ID, IL, LA, ME, MN, MS, MT, NC, NH, NJ, NV, NY, OH, OR, TX, UT, WA
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