Eric Schwartz has held the title Member at Klaas Financial Asset Advisors since February 2024, is not listed as a control person, but directly owns between 5% and 10% of the firm.
Klaas Financial Asset Advisors, LLC. is a Loves Park, IL firm with $758M under management, 1,015 clients and 13 advisers across 2 offices, as of its May 2026 filing.
Eric Schwartz’s longest registration is the current one, 5 years at Klaas Financial Asset Advisors since 2020. Before joining Klaas Financial Asset Advisors in 2020, Eric Schwartz was registered through Advice and Planning Services and Wea Financial Advisers, Inc.
- – present · 5 yearsFitchburg, WI · Adviser representative · Firm CRD 121399
- Advice and Planning Services– · 3 yearsMiddleton, WI · Adviser representative · Firm CRD 20472
- Wea Financial Advisers, Inc.– · 2 yearsMadison, WI · Adviser representative · Firm CRD 144919
Investment adviser representative registrations
Eric Schwartz is registered as an investment adviser representative in 2 states. Each was approved in December 2020.
- IllinoisSince 7 December 2020
- WisconsinSince 7 December 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 23 March 2017 |
| Series 65 | Uniform Investment Adviser Law Examination | 25 September 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 August 2013 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 August 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Eric James Schwartz
- CRD
- 6229045
- Firm
- Klaas Financial Asset Advisors · CRD 121399
- Role
- Member
- Office
- 5951 MCKEE RD, STE 200, Fitchburg, WI 53719
- Registration
- Investment adviser registration
- In the industry since
- September 2013
- Disciplinary history
- Not yet shown here · SEC record
Where does Eric Schwartz work?
Eric Schwartz has held the title Member at Klaas Financial Asset Advisors, LLC. since February 2024.
Is Eric Schwartz a financial advisor?
Yes. Eric Schwartz has a current investment-adviser registration in Illinois and Wisconsin, through Klaas Financial Asset Advisors since December 2020.
How many years of experience does Eric Schwartz have?
Eric Schwartz has 13 years in the financial industry, since September 2013, across 3 adviser firms.
What exams has Eric Schwartz passed?
Eric Schwartz has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in August 2013. FINRA credited Eric Schwartz with the SIE, which began in October 2018.
Where did Eric Schwartz work before Klaas Financial Asset Advisors?
Before Klaas Financial Asset Advisors, Eric Schwartz was registered through Advice and Planning Services, March 2017 to November 2020; Wea Financial Advisers, Inc., November 2014 to February 2017.
Where is Eric Schwartz based?
Eric Schwartz’s registered office is in Fitchburg, WI.
Is Eric Schwartz registered with FINRA?
No. Eric Schwartz has no current broker registration.
How can I verify Eric Schwartz’s record?
Search CRD 6229045 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Eric Schwartz’s full registration record.