Erik A. Luckey
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.
Erik Andrew Luckey, who also goes by Erik A Luckey, Erik Andrew Luckey, Erik Luckey, was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 2011. Erik had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2021 - August 29, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 23, 2021 - August 29, 2024
FIDELITY BROKERAGE SERVICES LLC
September 3, 2019 - February 4, 2021
EDWARD JONES
August 30, 2019 - February 4, 2021
EDWARD JONES
July 19, 2013 - September 4, 2019
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2013 - September 4, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 25, 2013 - July 3, 2013
VALIC FINANCIAL ADVISORS, INC.
June 24, 2013 - July 3, 2013
VALIC FINANCIAL ADVISORS, INC.
September 22, 2011 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2011 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
