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DE

David C. Erickson

Some features on this profile are disabled
CRD#: 2220920
DE

Professional summary

David Charles Erickson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, David had worked at 4 firms, which includes STOCKTON EQUITIES GROUP, SPECTRUM SECURITIES INC., QUEST CAPITAL STRATEGIES INC., PACIFIC COAST FINANCIAL SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 12, 1995 - November 17, 1995

STOCKTON EQUITIES GROUP

BD
CRD#: 18262
SAN DIEGO, CA
Past

May 26, 1995 - December 17, 1995

SPECTRUM SECURITIES, INC.

BD
CRD#: 29305
AROURA HILLS, CA
Past

May 11, 1994 - May 10, 1995

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

March 18, 1992 - April 27, 1994

PACIFIC COAST FINANCIAL SECURITIES, INC.

BD
CRD#: 29267

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/23/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/21/1992
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/17/1992
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/1995
General Securities Principal Examination

Current Firm

SE
STOCKTON EQUITIES GROUP
STOCKTON EQUITIES GROUP | STOCKTON SECURITIES CORP.

CRD#: 18262 / SEC#: , 8-35936

BD
Terminated by SEC on 07/06/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/12/1986
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SEG CAPITAL HOLDINGS, LLCINVESTOR
AMES, TODD MTREASURER
DONESON, JONATHAN DAVIDPRESIDENT2397643
RODDA, REX ALLENSECRETARY2611179
RODDA, REX ALLENCHIEF COMPLIANCE OFFICER2611179
RODDA, REX ALLENSROP CROP ROP2611179

Disclosures

Regulatory Event2
Arbitration1

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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Company Information

STOCKTON EQUITIES GROUP

CRD#: 18262

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