Patricia 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.
Patricia Kay Ruth Erickson, CFP®, who also goes by Patricia Ruth Erickson, Trish Ruth Erickson, Trish Erickson, Patricia Kay Ruth, Trish Ruth, Patricia Kay Ruth Erickson, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1992. Patricia had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 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
April 1, 2016 - January 23, 2018
NORTH SOUTH CAPITAL, LLC
March 30, 2016 - January 23, 2018
NORTH SOUTH CAPITAL, LLC
April 4, 2012 - July 15, 2014
FIFTH THIRD SECURITIES, INC.
April 4, 2012 - July 15, 2014
FIFTH THIRD SECURITIES, INC.
April 26, 2007 - October 3, 2011
DEUTSCHE BANK SECURITIES INC.
April 26, 2007 - October 3, 2011
DEUTSCHE BANK SECURITIES INC.
December 14, 1999 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 1999 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 1996 - November 30, 1999
AON SECURITIES LLC
February 5, 1992 - April 1, 1996
FORTH FINANCIAL SECURITIES, CORPORATION
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
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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