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Erica L. Wainscott

CRD#: 5813403
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EW
Erica L Wainscott

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.

Erica L Wainscott, who also goes by Erica L Ross, was a registered financial professional .

Erica is a previously registered financial professional and started their career in finance in 2010. Erica had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erica L Ross

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 17, 2023 - June 3, 2026

BCG SECURITIES, INC.

RIA
CRD#: 70
CHERRY HILL, NJ
Past

July 26, 2023 - June 3, 2026

BCG SECURITIES, INC.

BD
CRD#: 70
CHERRY HILL, NJ
Past

January 31, 2020 - June 3, 2026

HORACE MANN INVESTORS, INC.

RIA
CRD#: 11643
Naples, FL
Past

September 14, 2018 - December 31, 2019

HORACE MANN INVESTORS, INC.

RIA
CRD#: 11643
Naples, FL
Past

April 19, 2016 - June 3, 2026

HORACE MANN INVESTORS, INC.

BD
CRD#: 11643
Naples, FL
Past

October 1, 2012 - April 14, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SPRINGFIELD, IL
Past

July 15, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SPRINGFIELD, IL

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".
BCG SECURITIES, INC.
BCG SECURITIES, INC.
AC CAPITAL MANAGEMENT | WHITE CLIFF WEALTH MANAGEMENT | WEALTH ADVISORY GROUP | THE KIRWAN COMPANIES, LTD | ROCHONCHOU WEALTH MANAGEMENT | POWERS WEALTH MANAGEMENT | PINNACLE PEAK PRIVATE CLIENT GROUP | LANDMARK FINANCIAL PLANNERS, LLC | HADDON PLANNING GROUP | GREY CLIFF WEALTH MANAGEMENT | FREDERICA WEALTH MANAGEMENT | BCG WEALTH MANAGEMENT | BCG SECURITIES, INC. | BALANCED SECURITY PROGRAMS, INC. | ASPEN WEALTH MANAGEMENT

CRD#: 70 / SEC#: 801-56943, 8-12680

RIA
Registered Investment Advisory firm - SEC (11/4/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/12/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/7/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/14/2010
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/12/2019
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/7/2016
Investment Company Products/Variable Contracts Principal Examination

Current Firm

BCG SECURITIES, INC.
BCG SECURITIES, INC.
AC CAPITAL MANAGEMENT | WHITE CLIFF WEALTH MANAGEMENT | WEALTH ADVISORY GROUP | THE KIRWAN COMPANIES, LTD | ROCHONCHOU WEALTH MANAGEMENT | POWERS WEALTH MANAGEMENT | PINNACLE PEAK PRIVATE CLIENT GROUP | LANDMARK FINANCIAL PLANNERS, LLC | HADDON PLANNING GROUP | GREY CLIFF WEALTH MANAGEMENT | FREDERICA WEALTH MANAGEMENT | BCG WEALTH MANAGEMENT | BCG SECURITIES, INC. | BALANCED SECURITY PROGRAMS, INC. | ASPEN WEALTH MANAGEMENT

CRD#: 70 / SEC#: 801-56943, 8-12680

RIA
Registered Investment Advisory firm - SEC (11/4/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
51 Haddonfield Road Suite 210, Cherry Hill, NJ 08002
Mailing Address
51 Haddonfield Road Suite 210, Cherry Hill, NJ 08002
Phone number
(856) 393-1950
Established
Pennsylvania since 09/10/1965
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
55

SEC notice filing (45 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BCG SECURITIES FIRM BROCHURE (3/10/2025)

Direct owners and executive officers

NamePositionCRD#
HORACE MANN EDUCATORS CORP.OWNER
GARLATTI, JEFFREYNATIONAL SALES MANAGER5670941
GAYLE, TROY MARSHALLTREASURER5925156
GREENIER, RYAN EDWARDSENIOR VICE PRESIDENT, FINANCE
MICHAEL, LINEA KATESECRETARY5791549
TAYLOR, HOLLEY WATSONCHIEF COMPLIANCE OFFICER4171040
TSAI, PHYLLISFINOP7200380

Regulatory assets under management

Total Number of Accounts1,900
AUM (Assets Under Management)$ 740,027,520

Disclosures

Regulatory Event6
Arbitration1

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.

Company Information

BCG SECURITIES, INC.

BCG SECURITIES, INC.

CRD#: 70

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