Eric J. 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.
Eric John Erickson, who also goes by Eric J Erickson, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1995. Eric had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 52 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
December 3, 2013 - December 28, 2015
BANCWEST INVESTMENT SERVICES, INC.
November 26, 2013 - December 28, 2015
BANCWEST INVESTMENT SERVICES, INC.
July 15, 2011 - August 28, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 15, 2011 - August 28, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2005 - July 15, 2011
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - July 15, 2011
CHASE INVESTMENT SERVICES CORP.
October 27, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
October 27, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 28, 2003 - July 14, 2004
RONIN ASSET MANAGEMENT
December 3, 2002 - October 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 19, 1999 - November 19, 2002
MORGAN STANLEY DW INC.
January 30, 1998 - November 19, 2002
MORGAN STANLEY DW INC.
October 5, 1995 - October 17, 1995
AMERIPRISE ADVISOR SERVICES, INC.
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
Current Firm
BANCWEST INVESTMENT SERVICES, INC.
CRD#: 29357 / SEC#: 801-71300, 8-44261
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO HARRIS BANK N.A. | SOLE SHAREHOLDER | |
| BIEL, ROLLIN LYNN | BWIS VICE PRESIDENT - CHIEF FINANCIAL OFFICER/PFO | 5101711 |
| DUBENDORF, DARIN KEITH | BWIS PRESIDENT/CEO - WMG HEAD OF CLIENT SOLUTIONS | 1692187 |
| HATFIELD, JOHN CALVIN | BWIS VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4272399 |
| PRUITT, JEFFREY PAUL | BWIS VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | 2455635 |
Regulatory assets under management
| Total Number of Accounts | 9,062 |
| AUM (Assets Under Management) | $ 2,024,253,748 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2023 |
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.
