Erickson Smith
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.
Erickson Smith JR was a registered financial professional .
Erickson is a previously registered financial professional and started their career in finance in 1990. Erickson had worked at 8 firms and has passed the Series 63, Series 65, Series 6TO, Series 99TO, Series 7TO, SIE, Series 57TO, Series 52TO, Series 3, Series 55, Series 7, Series 6, Series 24, Series 27, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2022 - June 21, 2023
VELOX CLEARING LLC
March 3, 2020 - July 1, 2022
OPTIMX SECURITIES LLC
October 26, 2000 - October 30, 2015
MB TRADING
July 18, 2000 - September 1, 2000
TRAVIS MORGAN SECURITIES INC.
April 27, 1998 - July 12, 2000
AMERIPRISE ADVISOR SERVICES, INC.
June 27, 1994 - March 4, 1998
GRIFFIN FINANCIAL SERVICES
October 15, 1991 - June 7, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 23, 1990 - January 8, 1991
KENNEDY, CABOT & CO.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 8/31/2000
Limited Representative-Equity Trader ExamCurrent Firm
VELOX CLEARING LLC
CRD#: 290215 / SEC#: , 8-70017
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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