Erica Fredrickson
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 Fredrickson was a registered financial professional .
Erica is a previously registered financial professional and started their career in finance in 2017. Erica had worked at 3 firms and has passed the Series 63, Series 19, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2023 - April 17, 2025
CLEARLIST SECURITIES LLC
March 20, 2023 - April 17, 2025
CLEARLIST LLC
December 6, 2017 - April 24, 2025
GTS SECURITIES LLC
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
Series 19
Date: 1/24/2019
NYSE Floor Clerk - Equities ExaminationCurrent Firm
CLEARLIST SECURITIES LLC
CRD#: 309455 / SEC#: , 8-70540
Contact information
FINRA licenses (48 States and Territories)
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.
