Thomas T. Lightfoot
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.
Thomas Taylor Lightfoot, who also goes by Tom Lightfoot, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 4 firms and has passed the Series 63 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
December 30, 1997 - September 14, 2012
ERICKSON FINANCIAL SOLUTIONS, LLC
July 25, 1996 - August 12, 1998
CFD INVESTMENTS, INC.
August 22, 1990 - July 26, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 22, 1990 - July 26, 1996
OSAIC FA, 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
ERICKSON FINANCIAL SOLUTIONS, LLC
CRD#: 115523 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 4,500,000 |
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.
