Thomas J. 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.
Thomas John Erickson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2013 - June 3, 2014
WIPFLI FINANCIAL ADVISORS, LLC
March 14, 2012 - July 3, 2013
WIPFLI HEWINS INVESTMENT ADVISORS LLC
January 3, 2000 - November 11, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 26, 1994 - January 10, 2000
NATIONWIDE SECURITIES, LLC
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
WIPFLI FINANCIAL ADVISORS, LLC
CRD#: 109983 / SEC#: 801-56865
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 9,010 |
| AUM (Assets Under Management) | $ 5,066,337,996 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/23/2022 | ||
| 01/13/2022 |
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.
