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JE

Jeffrey J. Erickson

SEABURY SECURITIES LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 2512075
JE

Professional summary

Jeffrey Joseph Erickson, who also goes by Jefrrey Joseph Erickson, is a registered financial professional currently at SEABURY SECURITIES LLC located in New York, New York and SEACAP SECURITIES LLC located in Los Angeles, California.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2018. Jeffrey has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jefrrey Joseph 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Joseph Erickson's CRS (Customer Relationship Summary).

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

Current

May 11, 2018 - Present

SEABURY SECURITIES LLC

Office #1: 152 W 57th Street, New York, NY 10019
BD
CRD#: 41916
New York, NY
Current

May 16, 2018 - Present

SEACAP SECURITIES LLC

Office #1: 10877 Wilshire Boulevard Suite 2005, Los Angeles, CA 90024
BD
CRD#: 133994
Los Angeles, CA

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/11/2018
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SEACAP SECURITIES LLC
FIRST PRINCIPLE SECURITIES, LLC | SEACAP SECURITIES LLC

CRD#: 133994 / SEC#: , 8-66804

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 W 57th Street 53rd Floor, New York, NY 10019
Mailing Address
152 W 57th Street 53rd Floor, New York, NY 10019
Phone number
(212) 284-1150
Established
Delaware since 12/20/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
M. CHAN & ASSOCIATES, INC.MEMBER
SEACAP HOLDINGS LLCMEMBER
CHAN, MARGARET LCEO, CCO & PRINCIPAL707456
MARRONE, MICHAEL THOMASFINOP4859949

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.

Company Information

SEACAP SECURITIES LLC

CRD#: 133994New York, NY 10019

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