SE
Shawn Erickson
TRUNORTH FINANCIAL LLC
Newburgh, NY 12550
Some features on this profile are disabled
CRD#: 6916517
SE
Professional summary
Shawn Erickson is a registered financial advisor currently at TRUNORTH FINANCIAL LLC located in Newburgh, New York.
Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Shawn has worked at 2 firms and has passed the Series 65, Series 63, SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn 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®
NoneExperience
Current
June 26, 2024 - Present
TRUNORTH FINANCIAL LLC
Office #1: 1153 Union Ave, Newburgh, NY 12550RIA
CRD#: 331614
Newburgh, NY
Past
April 11, 2018 - April 26, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
POUGHKEEPSIE, NY
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".
TF
TRUNORTH FINANCIAL LLC
TRUNORTH FINANCIAL LLC
CRD#: 331614 / SEC#: 801-134425
RIA
Registered Investment Advisory firm - (9/25/2025 Approved)Louisiana
Registered Investment Advisory firm - (10/1/2025 Termination Requested)New York
Registered Investment Advisory firm - (10/1/2025 Terminated)North Carolina
Registered Investment Advisory firm - (10/3/2025 Terminated)Texas
Registered Investment Advisory firm - (10/1/2025 Termination Requested)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
Louisiana(9/17/2024)
IAR
New York(6/26/2024)
IAR
North Carolina(3/25/2025)
IAR
Texas(10/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
TRUNORTH FINANCIAL LLC
TRUNORTH FINANCIAL LLC
CRD#: 331614 / SEC#: 801-134425
RIA
Registered Investment Advisory firm - (9/25/2025 Approved)Louisiana
Registered Investment Advisory firm - (10/1/2025 Termination Requested)New York
Registered Investment Advisory firm - (10/1/2025 Terminated)North Carolina
Registered Investment Advisory firm - (10/3/2025 Terminated)Texas
Registered Investment Advisory firm - (10/1/2025 Termination Requested)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Newburgh, NY
Mailing Address
Phone number
(845) 741-7150
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 65 |
| AUM (Assets Under Management) | $ 29,500,000 |
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
TRUNORTH FINANCIAL LLC
CRD#: 331614Newburgh, NY 12550TRUST BUT VERIFY
Monitor Shawn Erickson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
