Erich Hickey
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.
Erich Hickey, who also goes by Erich Michael Hickey, was a registered financial professional .
Erich is a previously registered financial professional and started their career in finance in 2000. Erich had worked at 5 firms and has passed the Series 63 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
October 27, 2014 - March 15, 2016
SPOUTING ROCK RETIREMENT SOLUTIONS, LLC
September 11, 2009 - July 28, 2015
SPOUTING ROCK ASSET MANAGEMENT, LLC
November 21, 2002 - February 9, 2004
QUASAR DISTRIBUTORS, LLC
January 27, 2000 - April 9, 2002
IDS LIFE INSURANCE COMPANY
January 27, 2000 - April 9, 2002
AMERIPRISE FINANCIAL SERVICES, 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
SPOUTING ROCK RETIREMENT SOLUTIONS, LLC
CRD#: 172353 / SEC#: 801-80175
Contact information
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.
