Erick C. Lindewall
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.
Erick Carl Lindewall, who also goes by Erick C Lindewall, was a registered financial professional .
Erick is a previously registered financial professional and started their career in finance in 1993. Erick had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2017 - September 19, 2018
BRIGHTHOUSE SECURITIES, LLC
April 13, 2016 - March 6, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
November 27, 2012 - April 7, 2016
TRANSAMERICA CAPITAL, LLC
June 17, 2010 - July 6, 2010
BRECEK & YOUNG ADVISORS, INC.
May 4, 2010 - July 30, 2012
SECURITIES AMERICA, INC.
April 23, 2008 - February 11, 2009
RIVERSOURCE DISTRIBUTORS, INC.
December 15, 2003 - April 11, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 1, 2002 - September 22, 2003
SIGNATOR INVESTORS, INC.
July 27, 2001 - January 1, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
June 12, 2000 - November 20, 2000
NEW ENGLAND SECURITIES
January 4, 1999 - October 8, 1999
SCUDDER FINANCIAL SERVICES, INC.
May 20, 1998 - December 31, 1998
DEAM INVESTOR SERVICES, INC.
January 2, 1996 - May 18, 1998
FIS SECURITIES, INC.
November 7, 1994 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
March 15, 1993 - April 22, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 15, 1993 - April 22, 1994
SIGNATOR INVESTORS, 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
Series 8
Date: 12/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRIGHTHOUSE SECURITIES, LLC
CRD#: 285300 / SEC#: , 8-69845
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHTHOUSE HOLDINGS, LLC | SOLE MEMBER (SHAREHOLDER) | |
| BEAULIEU, PHILIP JOHNATHON | VICE PRESIDENT | 5300540 |
| DAVIS, MICHAEL BENJAMIN | VICE PRESIDENT | 1742347 |
| LAMBERT, MYLES JOSEPH | CHAIRMAN PRESIDENT AND CEO | 3107551 |
| MACILVANE, KEVIN MICHAEL JR | VICE PRESIDENT | 5164574 |
| MARTINEZ, JOHN GREGORY | PRINCIPAL FINANCIAL OFFICER | 2210722 |
| MORGAN, JANET MARIE | VICE PRESIDENT | 6770849 |
| NIGRO, GERARD JOSEPH | SENIOR VICE PRESIDENT | 1577003 |
| PROHONIC, KRISTIN LEE | CHIEF COMPLIANCE OFFICER | 3048592 |
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.
