Jennifer 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.
Jennifer Anne Erickson, who also goes by Jennifer Anne Hicks, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2001. Jennifer had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2004 - October 21, 2014
RAINIER SECURITIES, LLC
October 8, 2002 - May 11, 2004
WELLS FARGO INVESTMENT SERVICES, LLC
March 5, 2002 - October 17, 2002
WELLS FARGO SECURITIES, LLC
November 23, 2001 - May 6, 2004
WELLS FARGO INVESTMENTS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
RAINIER SECURITIES, LLC
CRD#: 130893 / SEC#: , 8-66406
Contact information
Documents
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.
