Patricia A. 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.
Patricia Ann Erickson, who also goes by Pat Ann Erickson, Pat A. Erickson, Pat Ann Winzenburg, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1983. Patricia had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 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
January 6, 2021 - December 31, 2025
APOLLON WEALTH MANAGEMENT, LLC
December 4, 2020 - October 16, 2023
CABOT LODGE SECURITIES LLC
April 19, 2002 - December 31, 2020
CASCADE FINANCIAL MANAGEMENT, INC.
April 11, 2002 - February 12, 2021
CASCADE FINANCIAL MANAGEMENT, INC.
May 28, 1999 - May 10, 2002
CASCADE INVESTMENT GROUP, INC.
March 24, 1988 - October 22, 1991
PIPER SANDLER & CO.
November 23, 1983 - June 24, 1999
PIPER SANDLER & CO.
Primary Firm SEC Registration
APOLLON WEALTH MANAGEMENT, LLC
CRD#: 291902 / SEC#: 801-112350
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
APOLLON WEALTH MANAGEMENT, LLC
CRD#: 291902 / SEC#: 801-112350
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,798 |
| AUM (Assets Under Management) | $ 7,720,756,861 |
Red Flags
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