7025 W Grandridge Blvd, Ste B Kennewick WA Erik R. Pielstick. 115 N 50 th Avenue, Ste B Yakima WA CRD# Financial Management, Inc.

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1 Part 2B of Form ADV: Brochure Supplement Item 1 Cover Page Erik R. Pielstick 7025 W Grandridge Blvd, Ste B Kennewick WA Financial Management, Inc. 115 N 50 th Avenue, Ste B Yakima WA CRD# January 2014 This Brochure Supplement provides information about Erik R. Pielstick that supplements the Financial Management, Inc. Brochure. You should have received a copy of that Brochure. Please contact Corina Martin, Operations Manager, if you did not receive FMI s Brochure or if you have any questions about the contents of this supplement. Additional information about Erik R. Pielstick is available on the SEC s website at

2 Item 2 Educational Background and Business Experience Erik R. Pielstick Born: 11/09/1954 Erik was born in Jerome, Idaho, and grew up in Salem, Oregon. He moved to the Tri-Cities in 1981 after 10 years in Colorado. Erik started in the Financial Services Industry in 1991 after 26 years of experience in business and the sporting goods industry (research and design, manufacturing, marketing, professional skiing, and retail sales), and now resides in Richland with his wife Rose and two sons Trevor and Bryce. Salem High School Graduate, 1973 Investment Advisor Representative since 2004 of Financial Management, Inc., an independent Registered Investment Advisor Completed advanced studies in financial planning through the American College in Bryn Mawr, Pennsylvania, receiving Chartered Financial Consultant (ChFC) Registered Representative, Life Insurance Agent since 1991 and Investment Advisor Representative of LPL Financial since June Investment Advisor Representative of Financial Management, Inc. since June 2004 Completed advance financial planning studies through the College of Financial Planning of Greenwood Village, Colorado, receiving Certified Financial Planner designation (CFP ) in 2001 Certified Financial Planner designation (CFP ) received in 2001 The CFP marks represent a Certified Financial Planner designation. An individual who has earned these marks has met the education, examination, experience and ethics standards established by the Certified Financial Planners Board of Standards (CFP Board). Therefore, a financial planner who has earned the CFP marks should be distinguished from a financial planner who has not. Consumers need to be aware that there is nothing preventing a person from declaring themselves a "Financial Planner", and it is therefore incumbent upon the consumer to differentiate between a planner who has earned the marks and one who hasn't. If a financial planner has earned the right to use the CFP marks, this means that he or she has met the following requirements: Education: There are three ways to meet the CFP certification education requirement: 1) completing an education program at a college or university whose curriculum is registered with the CFP Board; or 2) submitting a transcript of previous financial planning-related course work to the CFP Board for review and credit; or 3) showing the attainment of certain professional designations or academic degrees. Examination: Candidates for the CFP certification must pass a rigorous two-day, 10-hour CFP Certification Examination administered by the CFP Board that covers the financial planning process and includes such topics as tax planning, employee benefits and retirement planning, estate planning, investment management and insurance

3 Experience: Candidates for CFP certification must prove they have experience in the financial planning process before being authorized to use the CFP marks. Ethics: Candidates for CFP certification have their backgrounds checked by the CFP Board, and must also disclose any investigations or legal proceedings related to their professional or business conduct. The CFP Board reviews all such disclosures and investigates those statements that indicate areas of concern Prerequisites/Experience Required: Candidate must meet the following requirements: A bachelor s degree (or higher) from an accredited college or university, and 3 years of full-time personal financial planning experience Examination Type: CFP Certification Examination Continuing Education/Experience Requirements: 30 hours every 2-years Chartered Financial Consultant (ChFC) received in 2003 The Chartered Financial Consultant (ChFC) focuses on the comprehensive financial planning process as an organized way to collect and analyze information concerning a client's total financial situation. They help their clients identify specific financial goals; and to formulate, implement and monitor a comprehensive plan to achieve those goals. A ChFC adheres to a strict code of ethics and has prepared extensively to provide sound, comprehensive financial advice. Every ChFC candidate must have at least three years of industry experience and successfully pass 10 college-level courses from the American College in Bryn Mawr, PA. Since its inception, more than 37,000 men and women have met the educational, continuing education, experience, and ethics mandates needed to earn the ChFC designation. Prerequisites/Experience Required: 3 years of full-time business experience within the five years preceding the awarding of the designation Educational Requirements: 6 core and 2 elective courses Examination Type: Final proctored exam for each course Continuing Education/Experience Requirements: 30 CE credits every 2 years Certified College Planning Specialist (CCPS) A Certified College Planning Specialist is a financial professional who has demonstrated the skills necessary to assist families in preparing for the financial cost of sending children to college. The CCPS is trained to identify the most economically advantageous methods to save and pay for college. The Certified College Planner Specialist (CCPS) is a professional designation focused exclusively on college financial planning and is awarded to those financial advisors who has meet the high standards of education, experience, and professionalism that are required of all its members. A CCPS certificant candidate must complete an Application for Certification, pass comprehensive examinations, agree to abide by the NICCP and CCPS's Code of Ethics, and meet continuing education requirements. To become a CCPS, a candidate must complete an Application for Certification which asks a candidate to disclose whether they have been a party (or involved) in any criminal, civil, governmental, or self-regulatory agency proceeding or inquiry. The Application for Certification will state the disclosures that are considered to be unacceptable and will bar an individual from becoming a CCPS certificant unless the candidate successfully appeals their situation to the NICCP.

4 Certain conduct of the CCPS certificant candidate will bar the candidate from becoming a CCPS certificant. The following conduct will bar a candidate from becoming certified: Felony conviction for theft, embezzlement, tax fraud, or other financial crimes. Involuntary revocation of a financial or professional license or designation. Felony conviction for any criminal activity (violent or non-violent). More than one personal or business bankrupt. A civil or criminal judgment for a financial service performed. A CCPS candidate must disclose any of the above items on the Application for Certification Member of the Tri Cities Estate Planning Council, the Financial Planning Association, WSU Planned Giving Committee, and Three Rivers Foundation Board of Directors.

5 Item 3 Disciplinary Information Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that would be material to your evaluation of each supervised person providing investment advice. No information is applicable to this Item. The BrokerCheck link is ; the IAPD link is

6 Item 4 Other Business Activities Erik R. Pielstick is a Registered Representative of LPL Financial, LLC ( LPL ). He spends 40% of his time pursuant to activities as planners and 20% of his time providing brokerage services as Registered Representative. In such capacity he may offer securities and receive normal and customary fees and commissions as a result of investment management and securities transactions. Erik R. Pielstick is an independently Licensed Insurance Agent representing numerous insurance companies. In such a capacity, he may offer insurance products and receive normal and customary commissions as a result of such a purchase. This presents a potential conflict of interest to the extent that they recommend the purchase of any insurance product, which results in commission being paid to them as an independent Insurance Agent. He spends 20% of their time in this capacity. This role and activity is separate from his financial planning activities.

7 Item 5 Additional Compensation Erik R. Pielstick receives no additional compensation separate from his activities as an Investment Advisory Representative, Registered Representative and Insurance Agent.

8 Item 6 Supervision As an LPL branch manager and registered principal, Clark L. Permann provides supervision and oversight of transactions, correspondence, compliance, trades, planning recommendations and procedures in his administrative role. This is done with the use of technology, staff, and approved processes. Oversight and supervision is also provided by LPL Financial and their back office personnel with regard to all registered representative activities. Financial Management, Inc. is a registered investment advisor with the State of Washington Department of Financial Institutions. Clark L. Permann in his role as president oversees financial planning and asset management related activities and recommendations. This is a separate role from his duties as Branch OSJ Manager. He is overseen by the State of Washington Securities Division/Department of Financial Institutions who performs audits and oversight in this role.

9 Item 7 Requirements for State-Registered Advisers A. In addition to the events listed in Item 3 of Part 2B, if Erik R. Pielstick has been involved in one of the events listed below, we disclose all material facts regarding the event. 1. An award or otherwise being found liable in an arbitration claim alleging damages in excess of $2,500, involving any of the following: (a) an investment or an investment-related business or activity; (b) fraud, false statement(s), or omissions; (c) theft, embezzlement, or other wrongful taking of property; (d) bribery, forgery, counterfeiting, or extortion; or (e) dishonest, unfair, or unethical practices. We have nothing to disclose in this regard. 2. An award or otherwise being found liable in a civil, self-regulatory organization, or administrative proceeding involving any of the following: (a) an investment or an investment-related business or activity; (b) fraud, false statement(s), or omissions; (c) theft, embezzlement, or other wrongful taking of property; (d) bribery, forgery, counterfeiting, or extortion; or (e) dishonest, unfair, or unethical practices. We have nothing to disclose in this regard. B. If Erik R. Pielstick has been the subject of a bankruptcy petition, we must disclose that fact, the date the petition was first brought, and the current status. We have nothing to disclose in this regard.

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