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Detailed Report
Erica Yoshiko Puent
CRD#: 6449452
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Investment Adviser
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Previous Broker
CREATIVE PLANNINGCRD#: 105348 Somerville, MA
Registration History
2017201820192020202120222023202420252026IACREATIVE PLANNING (CRD# 105348)2023 - Present (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2017 - 2019 (2 years)IAFISHER INVESTMENTS (CRD# 107342)2021 - 2021 (<1 year)IABKD WEALTH ADVISORS, LLC (CRD# 110905)2020 - 2021 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2019 - 2019 (<1 year)
License(s)

State Registrations

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Indiana 10/17/2023
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Massachusetts 6/18/2024
Current Registration(s)
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CREATIVE PLANNING (CRD#:105348)
Somerville, MA
Registered with this firm since 10/17/2023
Previous Registration(s)
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 02/09/2021 - 11/05/2021 FISHER INVESTMENTS (CRD#:107342) PLANO, TX
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 01/22/2020 - 01/25/2021 BKD WEALTH ADVISORS, LLC (CRD#:110905) Indianapolis, IN
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 02/04/2019 - 12/26/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) Fort Worth, TX
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 11/02/2017 - 12/26/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) Fort Worth, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.