Nils A. Ericson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nils Alexander Ericson, who also goes by Nils A Ericson, Nils Ericson, was a registered financial professional .
Nils is a previously registered financial professional and started their career in finance in 1981. Nils had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2022 - June 12, 2025
LPL FINANCIAL LLC
December 4, 2021 - June 12, 2025
LPL FINANCIAL LLC
October 7, 2019 - September 14, 2021
CALTON & ASSOCIATES, INC.
April 16, 2019 - October 7, 2019
PAULSON INVESTMENT COMPANY LLC
December 15, 2016 - April 1, 2019
RAYMOND JAMES & ASSOCIATES, INC.
September 3, 2015 - October 28, 2016
AEGIS CAPITAL CORP.
April 11, 2012 - August 24, 2015
JHS CAPITAL ADVISORS, LLC
February 16, 2010 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
December 2, 2009 - March 2, 2010
SCOTTSDALE CAPITAL ADVISORS CORP
May 14, 2009 - October 12, 2009
BLACK ROSE EQUITY MANAGEMENT LLC
January 30, 2006 - March 30, 2009
PRIVATE CONSULTING GROUP, INC.
December 4, 2003 - October 14, 2005
INVESTORS RESOURCES GROUP, INC.
May 8, 1995 - November 20, 2003
ROUND HILL SECURITIES, INC.
December 15, 1994 - April 7, 1995
FIRST ALLIED SECURITIES, INC.
May 31, 1989 - December 16, 1994
FIRST AFFILIATED SECURITIES
April 14, 1986 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
February 1, 1985 - March 12, 1986
E. F. HUTTON & COMPANY INC
April 27, 1982 - March 4, 1985
LPL FINANCIAL LLC
December 24, 1981 - March 3, 1982
FIRST AFFILIATED SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 5/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
