Kerry D. Erickson

ERICKSON FINANCIAL GROUP

ALLENTOWN, PA 18106

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CRD#: 4528342

Professional summary

Kerry Duane Erickson, ChFC® is a registered financial advisor currently at ERICKSON FINANCIAL GROUP, LLC located in Allentown, Pennsylvania.

Kerry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kerry has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

NAME: KERRY ERICKSON INSURANCE AGENT INV REL: Y ADD: 3701 CORPORATE PKWY, SUITE 320, CENTER VALLEY, PA. 18034 NATURE: LIFE, HEALTH POSITION: SALES START DATE: 7/1/2003 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 2

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerry Duane Erickson's CRS (Customer Relationship Summary).

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®

ChFC^®

Chartered Financial Consultant

Experience

Current

February 28, 2019 - Present

ERICKSON FINANCIAL GROUP, LLC

Office #1: 1011 Brookside Road Suite 165, Allentown, PA 18106

RIA

CRD#: 299818

ALLENTOWN, PA

Past

August 16, 2010 - February 14, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Center Valley, PA

Past

June 21, 2002 - February 14, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Center Valley, PA

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".

ERICKSON FINANCIAL GROUP, LLC

CRD#: 299818 / SEC#: 801-120774

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/30/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(2/28/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/19/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/24/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/19/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ERICKSON FINANCIAL GROUP, LLC

CRD#: 299818 / SEC#: 801-120774

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/3/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/30/2021 Terminated)

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Contact information

Main Address

1011 Brookside Road Suite 165, Allentown, PA 18106

Mailing Address

Phone number

(484) 209-5270

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERICKSON FINANCIAL - DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (7/30/2025)

Regulatory assets under management

Total Number of Accounts	728
AUM (Assets Under Management)	$ 169,212,484

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.

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Advisor Monitoring

Firm Stability Insights

Kerry D. Erickson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerry Duane Erickson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ERICKSON FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2004

Series 63

Date: 7/24/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2003

Series 6

Date: 6/19/2002

Current Firm

ERICKSON FINANCIAL GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ERICKSON FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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