Eric Felty has been Owner & Chief Compliance Officer of Equity Advisors of Kentucky since June 2023, is a control person of the firm and directly owns between 25% and 50% of it.
Equity Advisors of Kentucky Inc is a Lexington, KY firm with $142M under management, 114 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Eric Felty’s longest registration is the current one, 7 years at Equity Advisors of Kentucky since 2019. Before joining Equity Advisors of Kentucky in 2019, Eric Felty was registered through J.P. Morgan Securities LLC and Morgan Stanley.
- – present · 7 yearsSt Pete Beach, FL · Adviser representative · Firm CRD 116398
- J.P. Morgan Securities LLC– · under a yearWesterville, OH · Adviser representative · Firm CRD 79
- Morgan Stanley– · under a yearColumbus, OH · Adviser representative · Firm CRD 149777
Investment adviser representative registrations
Eric Felty is registered as an investment adviser representative in 2 states. The first approvals date from July 2019; the most recent is Florida, in August 2023.
- FloridaSince 17 August 2023
- KentuckySince 26 July 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 20 January 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 March 2014 |
| Series 7 | General Securities Representative Examination | 18 November 2013 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 September 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Eric M Felty
- CRD
- 6158347
- Firm
- Equity Advisors of Kentucky · CRD 116398
- Role
- Owner & Chief Compliance Officer
- Office
- St Pete Beach, FL
- Registration
- Investment adviser registration
- In the industry since
- March 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does Eric Felty work?
Eric Felty has been Owner & Chief Compliance Officer of Equity Advisors of Kentucky Inc since June 2023, and is a control person of the firm.
Is Eric Felty a financial advisor?
Yes. Eric Felty has a current investment-adviser registration in Florida and Kentucky, through Equity Advisors of Kentucky since July 2019.
How many years of experience does Eric Felty have?
Eric Felty has 9 years in the financial industry, since March 2017, across 3 adviser firms.
What exams has Eric Felty passed?
Eric Felty has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 66. The earliest, the Series 6, was passed in September 2013. FINRA credited Eric Felty with the SIE, which began in October 2018.
Where did Eric Felty work before Equity Advisors of Kentucky?
Before Equity Advisors of Kentucky, Eric Felty was registered through J.P. Morgan Securities LLC, January 2017 to March 2017; Morgan Stanley, August 2015 to April 2016.
Where is Eric Felty based?
Eric Felty’s registered office is in St Pete Beach, FL.
Is Eric Felty registered with FINRA?
No. Eric Felty has no current broker registration.
How can I verify Eric Felty’s record?
Search CRD 6158347 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Eric Felty’s full registration record.