ED
Erick J. Delarosa
MUTUAL OF AMERICA SECURITIES LLC
BLOOMINGTON, MN 55437
Some features on this profile are disabled
CRD#: 4497309
ED
Professional summary
Erick John Delarosa is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Bloomington, Minnesota.
Erick is registered as a RR (Registered Representative) and started their career in finance in 2002. Erick has worked at 3 firms and has passed the Series 63, SIE and Series 6 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 Erick John Delarosa'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 29, 2002 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: Normandale Lake Office Park 8300 Norman Center Drive, Suite 160, Bloomington, MN 55437BD
CRD#: 27878
BLOOMINGTON, MN
Past
May 29, 2002 - November 20, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
SAN DIEGO, CA
Past
February 12, 2002 - May 23, 2002
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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
Arizona(5/29/2002)
RR
Arkansas(5/8/2015)
RR
California(5/29/2002)
RR
Colorado(5/8/2015)
RR
Idaho(5/8/2015)
RR
Iowa(2/10/2025)
RR
Kansas(5/8/2015)
RR
Louisiana(5/8/2015)
RR
Montana(5/8/2015)
RR
Nebraska(5/8/2015)
RR
Nevada(5/29/2002)
RR
New Mexico(5/8/2015)
RR
Oklahoma(5/8/2015)
RR
Oregon(5/8/2015)
RR
Texas(5/8/2015)
RR
Utah(5/8/2015)
RR
Washington(5/8/2015)
RR
Wyoming(5/8/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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.
