Milton E. 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.
Milton Eugene Erickson, who also goes by Gene Erickson, was a registered financial professional .
Milton is a previously registered financial professional and started their career in finance in 1975. Milton had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2002 - December 17, 2004
WORLD GROUP SECURITIES, INC.
January 9, 1997 - April 12, 2002
WMA SECURITIES, INC.
August 20, 1993 - December 31, 1996
HARBOUR INVESTMENTS, INC.
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
November 19, 1990 - December 23, 1992
USA FINANCIAL GROUP, INC.
September 7, 1990 - November 20, 1990
ACS SECURITIES CORP.
July 25, 1989 - September 14, 1990
GENEVA SECURITIES,INC.
April 3, 1986 - December 31, 1988
CAPITAL FINANCIAL SERVICES, INC.
May 21, 1980 - April 8, 1986
CHARTER SECURITIES CORPORATION
December 16, 1976 - February 10, 1986
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 12, 1975 - March 14, 1977
EQUITY SERVICES, INC.
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 1
Date: 2/26/1975
Registered Representative ExaminationCurrent Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
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.
