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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

ERIC JOSEPH FLAIM

Advisor at ESTATE PLANNERS OF NEW ENGLAND, LLC

PORTSMOUTH, NH

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Search this name across graphsid dfx:ria:d10e8d0f-74d6-db59-dceb-ada6b45219f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 2, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ESTATE PLANNERS OF NEW ENGLAND, LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 11, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S66
First exam: Apr 11, 2003
First registration: May 2, 2003
Dual registered: yes, broker-dealer
Other names: ERIC FLAIM
IAPD individual key: 4618103

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ESTATE PLANNERS OF NEW ENGLAND, LLC	Former SEC adviser	May 21, 2015	n/a	yes	PORTSMOUTH, NH	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 17, 2009	May 14, 2015	no	PORTSMOUTH, NH	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 4, 2005	Apr 21, 2009	no	EXETER, NH\|EPPING, NH\|PORTSMOUTH, NH\|NEWMARKET, NH\|HAMPTON, NH\|MANCHESTER, NH\|PORTSMOUTH, NH	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jan 13, 2004	Oct 12, 2005	no	LEBANON, NH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 2, 2003	Dec 19, 2003	no	SOUTH BURLINGTON, VT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	ESTATE PLANNERS OF NEW ENGLAND, LLC	May 14, 2015	May 21, 2015	7	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 21, 2009	Apr 17, 2009	-4	Firm change	Other
CITIZENS SECURITIES, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 12, 2005	Oct 4, 2005	-8	Firm change	Other
UBS FINANCIAL SERVICES INC.	CITIZENS SECURITIES, INC.	Dec 19, 2003	Jan 13, 2004	25	Firm change	Other

Relationships

Registered with (5)

→ ESTATE PLANNERS OF NEW ENGLAND, LLCRegistered adviserregistration: current employment
May 21, 2015 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 17, 2009 to May 14, 2015factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 4, 2005 to Apr 21, 2009factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Jan 13, 2004 to Oct 12, 2005factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 2, 2003 to Dec 19, 2003factForm ADV

Dated events

No dated event names this entity yet.