Eric Erickson
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.
Eric Erickson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1981. Eric had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2011 - February 14, 2014
EMERGENT FINANCIAL GROUP, INC.
February 29, 2008 - May 6, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
November 11, 2005 - March 3, 2008
NRP FINANCIAL, INC.
August 16, 2004 - December 7, 2005
HARBOUR INVESTMENTS, INC.
August 3, 1988 - October 8, 2004
AMERIPRISE ADVISOR SERVICES, INC.
April 6, 1987 - January 27, 1988
MCCLEES INVESTMENTS, INC.
September 10, 1985 - April 16, 1987
J.W. MCCLEES AND COMPANY, INC.
December 29, 1982 - September 6, 1985
PAGEL INC.
March 23, 1981 - December 28, 1982
FIRST PREFERRED INVESTMENT CORPORATION
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 8
Date: 8/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EMERGENT FINANCIAL GROUP, INC.
CRD#: 37891 / SEC#: , 8-47997
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VTMW CAPITAL MANAGEMENT, LTD. | 100% DIRECT OWNER | |
| GOETSCH, MICHAEL RAY | PRESIDENT | 1807841 |
| JENKINS, CYNTHIA MADELYN | FINANCIAL AND OPERATIONS PRINCIPAL | 706510 |
| MCKELVEY, ROBERT KEVIN | CHIEF INVESTMENT OFFICER, CHAIRMAN OF THE BOARD, CHIEF COMPLIANCE OFFICER | 328695 |
| VOLDNESS, PETER BRIAN | CHIEF EXECUTIVE OFFICER | 872727 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
