AB
Amber D. Brummit
QUAD CITY INVESTMENT CENTER
Moline, IL 61265
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CRD#: 1929270
AB
Professional summary
Amber Dawn Brummit, who also goes by Amber Dawn Ericson, Amy Ericson, is a registered financial advisor currently at QUAD CITY INVESTMENT CENTER located in Moline, Illinois and LPL FINANCIAL LLC located in Moline, Illinois.
Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Amber has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amber Dawn Ericson | Amy Ericson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 05/02/2005 - DBA ONLY / QUAD CITY INVESTMENT CENTER
2. 02/02/2009 - TAX PREP / ACCOUNTING / BOOKKEEPING / MICHAEL EINFELDT & ASSOCIATES / 10% OF TIME SPENT.
3. 5/24/2017 - Quad City Investment Center - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/10/2017 - 20 Hours Per Month/2 Hours During Securities Trading - I provide investment advisory services through Quad City Investment Center, an independent investment advisor firm. I started this business activity in May 2017. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Amber Dawn Brummit's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 28, 2011 - Present
QUAD CITY INVESTMENT CENTER
Office #1: 3551 7th Street, Moline, IL 61265RIA
CRD#: 112187
Moline, IL
Current
May 2, 2005 - Present
LPL FINANCIAL LLC
Office #1: 3551 7th Street, Moline, IL 61265RIA
BD
CRD#: 6413
Moline, IL
Past
March 22, 2021 - April 8, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
DAVENPORT, IA
Past
November 23, 2010 - February 26, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
DAVENPORT, IA
Past
April 14, 1997 - May 5, 2005
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QC
QUAD CITY INVESTMENT CENTER
CMG INVESTMENT ADVISORS, L.L.C. | QUAD CITY INVESTMENT CENTER | QUAD CITY INVESTMENT ADVISORS, LLC | QUAD CITY INVESTMENT ADVISORS
CRD#: 112187 / SEC#: 801-60227
RIA
Registered Investment Advisory firm - (5/22/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/23/2021)
RR
Arizona(1/9/2017)
RR
California(1/9/2017)
RR
Colorado(1/9/2017)
RR
District of Columbia(7/14/2017)
RR
Florida(1/9/2017)
RR
Georgia(4/18/2024)
RR
Illinois(5/2/2005)
IAR
Illinois(3/28/2011)
RR
Indiana(1/9/2017)
RR
Iowa(5/2/2005)
IAR
Iowa(3/28/2011)
RR
Kansas(1/9/2017)
RR
Michigan(1/9/2017)
RR
Minnesota(1/19/2022)
RR
Mississippi(1/9/2017)
RR
Missouri(1/9/2017)
RR
Nevada(10/6/2020)
RR
New York(1/9/2017)
RR
North Carolina(1/10/2017)
RR
Ohio(1/9/2017)
RR
Oklahoma(1/9/2017)
RR
Pennsylvania(1/9/2017)
RR
South Carolina(1/9/2017)
RR
Texas(1/9/2017)
RR
Virginia(6/23/2025)
RR
Wisconsin(6/28/2021)
RR
Wyoming(1/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QUAD CITY INVESTMENT CENTER
CMG INVESTMENT ADVISORS, L.L.C. | QUAD CITY INVESTMENT CENTER | QUAD CITY INVESTMENT ADVISORS, LLC | QUAD CITY INVESTMENT ADVISORS
CRD#: 112187 / SEC#: 801-60227
RIA
Registered Investment Advisory firm - (5/22/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3551 7th Street, Moline, IL 61265
Mailing Address
Phone number
(309) 743-7793
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 911 |
| AUM (Assets Under Management) | $ 308,626,743 |
Red Flags
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Company Information
QUAD CITY INVESTMENT CENTER
CRD#: 112187Moline, IL 61265TRUST BUT VERIFY
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Contact information
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