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JE

James R. Erickson

FERGHANA SECURITIES
New York, NY 10170
Some features on this profile are disabled
CRD#: 6375451
JE

Professional summary

James Robert Erickson is a registered financial professional currently at FERGHANA SECURITIES, INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Robert 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®
None

Experience

Current

October 31, 2022 - Present

FERGHANA SECURITIES, INC.

Office #1: 420 Lexington Avenue- Suite 1402, New York, NY 10170
BD
CRD#: 43430
New York, NY
Past

May 29, 2018 - December 13, 2021

FERGHANA SECURITIES, INC.

BD
CRD#: 43430
NEW YORK, NY
Past

August 12, 2014 - February 13, 2017

FERGHANA SECURITIES, INC.

BD
CRD#: 43430
NEW YORK, NY

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
RR
Series 63
Date: 9/18/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/12/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FERGHANA SECURITIES, INC.
FERGHANA SECURITIES, INC.

CRD#: 43430 / SEC#: , 8-50270

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
420 Lexington Avenue- Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue - Suite 1402, New York, NY 10170
Phone number
(212) 986-7900
Established
Delaware since 04/22/1997
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FERGHANA PARTNERS, INC.PARENT COMPANY
KRIDEL, WILLIAM J JRCHIEF COMPLIANCE OFFICER704171
KRIDEL, WILLIAM J JRPRESIDENT704171
ERICKSON, JAMES ROBERTCOMPLIANCE OFFICER6375451

Disclosures

Regulatory Event1

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

FERGHANA SECURITIES, INC.

CRD#: 43430New York, NY 10170

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