Robert C. Erickson
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.
Robert Carroll Erickson was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 6 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2014 - June 14, 2019
THE O.N. EQUITY SALES COMPANY
May 14, 2003 - December 31, 2013
THE O.N. EQUITY SALES COMPANY
June 1, 2000 - June 13, 2003
KESTRA INVESTMENT SERVICES, LLC
October 13, 1994 - December 31, 1995
WOODBURY FINANCIAL SERVICES, INC.
November 17, 1993 - June 1, 2000
CETERA WEALTH SERVICES, LLC
May 14, 1991 - August 2, 1993
CETERA WEALTH SERVICES, LLC
July 30, 1984 - May 24, 1991
FMS SECURITIES, INC.
January 26, 1984 - April 16, 1984
RCL SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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