Richard J. Erickson

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CRD#: 2704674

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.

Richard John Erickson, who also goes by Richard Johnn Erickson, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2017. Richard had worked at 5 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Johnn 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)

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

December 13, 2022 - September 12, 2024

FIRST DALLAS SECURITIES INCORPORATED

CRD#: 24549

DALLAS, TX

Past

March 24, 2022 - November 15, 2022

LEVEL FOUR FINANCIAL, LLC

CRD#: 25700

DALLAS, TX

Past

July 1, 2020 - April 8, 2022

GOLDMAN SACHS & CO. LLC

CRD#: 361

Irving, TX

Past

October 19, 2018 - July 1, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

IRVING, TX

Past

August 16, 2017 - August 23, 2018

CAPITAL ONE INVESTING, LLC

CRD#: 45744

Plano, TX

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".

FIRST DALLAS SECURITIES INCORPORATED

FIRST DALLAS SECURITIES INCORPORATED | FIRST DALLAS SECURITIES, INC.

CRD#: 24549 / SEC#: 801-66208, 8-41231

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

General Industry/Product Exam

SIE

Date: 8/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2017

General Securities Representative Examination

Current Firm

FIRST DALLAS SECURITIES INCORPORATED

FIRST DALLAS SECURITIES INCORPORATED | FIRST DALLAS SECURITIES, INC.

CRD#: 24549 / SEC#: 801-66208, 8-41231

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

2905 Maple Avenue, Dallas, TX 75201

Mailing Address

2905 Maple Avenue, Dallas, TX 75201

Phone number

(214) 954-1177

Established

Texas since 10/20/1988

Firm type

Corporation

Fiscal year end

July

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV BROCHURE-OCT 2025 (10/31/2025)

Direct owners and executive officers

Name	Position	CRD#
HODGES CAPITAL HOLDINGS, INC.	SHAREHOLDER
BRADSHAW, GARY MACK	MUNI PRINCIPAL	1389924
DARABADEY, CHARMAGNE MARIE	CHIEF COMPLIANCE OFFICER	1481560
HAYS, STANLEY GLEN III	FINOP	5758208
HODGES, CRAIG DONALDSON	PRESIDENT	1714289

Regulatory assets under management

Total Number of Accounts	266
AUM (Assets Under Management)	$ 335,711,026

Disclosures

Regulatory Event	6
Arbitration	1

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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Richard J. Erickson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEVEL FOUR FINANCIAL, LLC

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

CAPITAL ONE INVESTING, LLC

Primary Firm SEC Registration

FIRST DALLAS SECURITIES INCORPORATED

State Registrations and Notice Filings

Exams

SIE

Date: 8/23/2018

Series 7

Date: 8/15/2017

Current Firm

FIRST DALLAS SECURITIES INCORPORATED

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST DALLAS SECURITIES INCORPORATED

TRUST BUT VERIFY

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