Theodore B. Erickson

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CRD#: 2376988

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.

Theodore Bernhardt Erickson, CFP®, who also goes by Ted B Erickson, was a registered financial professional .

Theodore is a previously registered financial professional and started their career in finance in 1993. Theodore had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ted B Erickson

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.

1) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 03/2020, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS HEALTH 2) ERICKSON WEALTH ADVISORS, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 03/2020, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES

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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Past

March 21, 2024 - July 17, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LAS VEGAS, NV

Past

March 26, 2020 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

LAS VEGAS, NV

Past

March 26, 2020 - July 17, 2025

CETERA ADVISORS LLC

CRD#: 10299

LAS VEGAS, NV

Past

February 17, 2015 - March 26, 2020

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

TILLAMOOK, OR

Past

March 4, 2008 - February 26, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAMAS, WA

Past

March 4, 2008 - March 31, 2020

LPL FINANCIAL LLC

CRD#: 6413

CAMAS, WA

Past

October 15, 2007 - March 4, 2008

IFMG SECURITIES, INC.

RIA

CRD#: 14416

TILLAMOOK, OR

Past

August 6, 2007 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

TILLAMOOK, OR

Past

March 27, 2007 - August 10, 2007

DFC INVESTOR SERVICES

RIA

CRD#: 18558

TILLAMOOK, OR

Past

March 27, 2007 - August 10, 2007

DFC INVESTOR SERVICES

CRD#: 18558

TILLAMOOK, OR

Past

December 15, 2006 - March 23, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAKE OSWEGO, OR

Past

December 15, 2006 - March 23, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAKE OSWEGO, OR

Past

February 27, 2004 - December 15, 2006

DFC INVESTOR SERVICES

RIA

CRD#: 18558

TILLAMOOK, OR

Past

October 1, 2003 - December 15, 2006

DFC INVESTOR SERVICES

CRD#: 18558

TILLAMOOK, OR

Past

August 4, 2003 - October 1, 2003

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

TILLAMOOK, WA

Past

March 28, 2002 - October 1, 2003

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

August 26, 1993 - July 26, 1995

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/25/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/25/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Theodore B. Erickson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

DFC INVESTOR SERVICES

DFC INVESTOR SERVICES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DFC INVESTOR SERVICES

DFC INVESTOR SERVICES

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

WADDELL & REED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2002

Series 63

Date: 8/27/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/27/2002

Series 6

Date: 8/25/1993

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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