SE
Stefan J. Erickson
AMUNI FINANCIAL
St. Petersburg, FL 33701
Some features on this profile are disabled
CRD#: 4204960
SE
Professional summary
Stefan Jansson Erickson is a registered financial professional currently at AMUNI FINANCIAL, INC. located in St. Petersburg, Florida.
Stefan is registered as a RR (Registered Representative) and started their career in finance in 2000. Stefan has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Stefan Jansson 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®
NoneExperience
Current
May 5, 2023 - Present
AMUNI FINANCIAL, INC.
Office #1: 720 Second Ave S., St. Petersburg, FL 33701RIA
BD
CRD#: 8365
St. Petersburg, FL
Past
January 2, 2013 - March 29, 2022
RAINIER SECURITIES, LLC
BD
CRD#: 130893
Mercer Island, WA
Past
August 18, 2010 - January 3, 2013
D.A. DAVIDSON & CO.
BD
CRD#: 199
SEATTLE, WA
Past
October 25, 2001 - August 23, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SEATTLE, WA
Past
June 26, 2000 - May 11, 2001
AMUNI FINANCIAL, INC.
BD
CRD#: 8365
ST. PETERSBURG, FL
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".
AMUNI FINANCIAL, INC.
AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
RIA
Registered Investment Advisory firm - SEC (3/11/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (3/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Michigan
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/11/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (3/16/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Washington(5/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/5/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AMUNI FINANCIAL, INC.
AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
RIA
Registered Investment Advisory firm - SEC (3/11/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (3/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Michigan
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/11/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (3/16/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
720 Second Ave S., St Petersburg, FL 33701
Mailing Address
P.o. Box 11749, St. Petersburg, FL 33733-9680
Phone number
(727) 825-0522
Established
Florida since 08/18/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
21
SEC notice filing (14 States and Territories)
FINRA licenses (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 274 |
| AUM (Assets Under Management) | $ 159,700,000 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 06/13/2023 |
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.
