Paulette A. 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.
Paulette Ann Erickson, who also goes by Paulette Ann Green, Paulette Ann Magnell, Paulette Ann Weesen, was a registered financial professional .
Paulette is a previously registered financial professional and started their career in finance in 1999. Paulette had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2008 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
October 17, 2006 - July 12, 2017
STRATEGIC ADVISERS LLC
October 10, 2006 - February 12, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
March 1, 2006 - September 15, 2006
USALLIANZ SECURITIES, INC.
March 8, 2005 - February 9, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 25, 2005 - February 17, 2005
LPL FINANCIAL LLC
January 24, 2005 - February 17, 2005
LPL FINANCIAL LLC
December 3, 2002 - September 8, 2004
MORGAN STANLEY DW INC.
January 28, 2002 - September 8, 2004
MORGAN STANLEY DW INC.
March 3, 1999 - July 9, 2001
MORGAN STANLEY DW INC.
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
