EA
Erik D. Anderson
MUTUAL OF AMERICA SECURITIES LLC
Honolulu, HI 96813
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CRD#: 7250252
EA
Professional summary
Erik David Anderson is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Honolulu, Hawaii.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2020. Erik has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
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.
1.) E.A. Buck Insurance DBA E.A. Buck Financial Services; YES INVESTMENT RELATED; 55 Merchant St, Suite 2100 Honolulu, HI 96813 ; FINANCIAL ADVISOR AND INSURANCE AGENT; START DATE 4/2022; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; DUTIES: SERVICING CLIENTS OF EXISTING E. A. BUCK ADVISORS. 2.) MADISON AVENUE SECURITIES, LLC; YES INVESTMENT RELATED; 13500 EVENING CREEK DR. N SUITE 555, SAN DIEGO, CA 92128; BROKER DEALER; REGISTERED REPRESENTATIVE; START DATE 4/2022; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; SECURITIES SALES AND SERVICES. 3.) NAME: AEWM; INV RELATED: YES; ADDRESS: 2950 SOUTHWEST MCCLURE RD. TOPEKA, KS 66614; NATURE: REGISTERED INVESTMENT ADVISER ENGAGED IN ASSET MANAGEMENT SERVICES; POSITION: IAR; START DATE: 4/2022; HOURS/MONTH: 160; TRADING HOURS/MONTH: 160; DUTIES: INVESTMENT ADVISER REPRESENTATIVE
CRS (Client Relationship Summary) - BD
Click below to view Erik David Anderson'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
August 7, 2023 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 737 Bishop Street Suite 2305, Honolulu, HI 96813BD
CRD#: 27878
Honolulu, HI
Past
January 9, 2023 - March 29, 2023
BUCK WEALTH STRATEGIES, LLC
RIA
CRD#: 322138
HONOLULU, HI
Past
April 14, 2022 - April 7, 2023
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Honolulu, HI
Past
April 12, 2022 - March 29, 2023
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Kapolei, HI
Past
June 25, 2021 - April 12, 2022
EDWARD JONES
RIA
CRD#: 250
HONOLULU, HI
Past
June 25, 2021 - April 12, 2022
EDWARD JONES
BD
CRD#: 250
HONOLULU, HI
Past
August 3, 2020 - June 29, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HONOLULU, HI
Past
July 3, 2020 - June 29, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HONOLULU, HI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/7/2023)
RR
Hawaii(8/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/2/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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.
