Adam G. Erickson
Professional summary
Adam Gary Erickson was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Adam had worked at 8 firms, which includes RAINMAKER SECURITIES LLC, BREWER INVESTMENT ADVISORS LLC, BREWER FINANCIAL SERVICES LLC, UHLMANN PRICE SECURITIES LLC, SPIKE FINANCIAL SERVICES LLC, LEO BROKERAGE LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2008 - February 24, 2009
RAINMAKER SECURITIES, LLC
September 27, 2006 - December 31, 2010
BREWER INVESTMENT ADVISORS LLC
February 7, 2005 - February 4, 2011
BREWER FINANCIAL SERVICES, LLC
July 2, 2004 - March 1, 2005
UHLMANN PRICE SECURITIES, LLC
December 1, 2003 - June 29, 2004
SPIKE FINANCIAL SERVICES, LLC
July 11, 2003 - November 20, 2003
LEO BROKERAGE, LLC
April 5, 1999 - July 8, 2003
IDS LIFE INSURANCE COMPANY
April 5, 1999 - July 8, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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