Scott K. 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.
Scott Kevin Erickson was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 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
September 22, 2015 - February 12, 2016
CANTELLA & CO., INC.
September 17, 2015 - February 12, 2016
CANTELLA & CO., INC.
January 8, 2009 - October 21, 2015
CARSON ADVISORY GROUP
September 24, 2008 - September 17, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 17, 2003 - October 1, 2008
CITIGROUP GLOBAL MARKETS INC.
April 5, 2001 - October 1, 2008
CITIGROUP GLOBAL MARKETS INC.
September 30, 1991 - April 9, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
August 23, 1988 - October 18, 1991
LEHMAN BROTHERS INC.
September 24, 1987 - June 24, 1988
J. W. GANT & ASSOCIATES, 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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
