AE
Alan E. Erickson
INVESCO CAPITAL MARKETS
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 4390537
AE
Professional summary
Alan E Erickson, who also goes by Alan Edward Erickson, is a registered financial professional currently at INVESCO CAPITAL MARKETS, INC. located in Downers Grove, Illinois.
Alan is registered as a RR (Registered Representative) and started their career in finance in 2001. Alan has worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alan Edward Erickson
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 Alan E 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
December 11, 2003 - Present
INVESCO CAPITAL MARKETS, INC.
Office #1: 3500 Lacey Road Suite 700, Downers Grove, IL 60515BD
CRD#: 6939
Downers Grove, IL
Past
June 1, 2010 - May 10, 2016
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
DOWNERS GROVE, IL
Past
August 27, 2001 - October 13, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
July 5, 2001 - August 3, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 5, 2001 - August 3, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Alabama(1/12/2016)
RR
Alaska(1/14/2004)
RR
Arizona(1/14/2004)
RR
Arkansas(1/12/2016)
RR
California(1/14/2004)
RR
Colorado(1/12/2016)
RR
Connecticut(1/12/2016)
RR
Delaware(1/12/2016)
RR
District of Columbia(1/12/2016)
RR
Florida(1/12/2016)
RR
Georgia(1/12/2016)
RR
Hawaii(1/14/2004)
RR
Idaho(1/14/2004)
RR
Illinois(12/11/2003)
RR
Indiana(1/12/2016)
RR
Iowa(1/12/2016)
RR
Kansas(1/12/2016)
RR
Kentucky(1/12/2016)
RR
Louisiana(1/12/2016)
RR
Maine(1/12/2016)
RR
Maryland(1/12/2016)
RR
Massachusetts(1/12/2016)
RR
Michigan(1/12/2016)
RR
Minnesota(1/12/2016)
RR
Mississippi(1/12/2016)
RR
Missouri(1/12/2016)
RR
Montana(1/14/2004)
RR
Nebraska(1/12/2016)
RR
Nevada(1/14/2004)
RR
New Hampshire(1/12/2016)
RR
New Jersey(1/12/2016)
RR
New Mexico(1/12/2016)
RR
New York(1/12/2016)
RR
North Carolina(1/12/2016)
RR
North Dakota(1/12/2016)
RR
Ohio(1/12/2016)
RR
Oklahoma(1/12/2016)
RR
Oregon(1/14/2004)
RR
Pennsylvania(1/12/2016)
RR
Puerto Rico(1/12/2016)
RR
Rhode Island(1/12/2016)
RR
South Carolina(1/12/2016)
RR
South Dakota(1/12/2016)
RR
Tennessee(1/12/2016)
RR
Texas(1/12/2016)
RR
Utah(1/12/2016)
RR
Vermont(1/12/2016)
RR
Virgin Islands(1/12/2016)
RR
Virginia(1/12/2016)
RR
Washington(1/14/2004)
RR
West Virginia(1/12/2016)
RR
Wisconsin(1/12/2016)
RR
Wyoming(1/14/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IC
INVESCO CAPITAL MARKETS, INC.
INVESCO CAPITAL MARKETS, INC. | ZEDD SECURITIES | VAN KAMPEN/AMERICAN CAPITAL DISTRIBUTORS, INC. | VAN KAMPEN MERRITT INC. | VAN KAMPEN FUNDS INC. | VAN KAMPEN FILKIN & MERRITT INC. | VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC.
CRD#: 6939 / SEC#: , 8-19412
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(713) 214-1919
Established
Delaware since 11/01/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | OWNER | |
| GEYER, WILLIAM SENG | DIRECTOR AND CO-PRESIDENT | 2250035 |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARTIGAN, BRIAN CHRISTOPHER | DIRECTOR AND CO-PRESIDENT | 4227272 |
| SAUERBORN, THOMAS J | PRINCIPAL OPERATIONS OFFICER | 1554859 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 6 |
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.
