Erik A. Liik
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.
Erik Allan Liik, who also goes by Erkky Allan Liik, Erkky Liik, was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 1993. Erik had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2014 - May 19, 2015
INDEPENDENT BROKERAGE SOLUTIONS LLC
January 15, 2013 - June 19, 2013
FORESIDE FUND SERVICES, LLC
November 2, 2010 - July 26, 2012
FORESIDE FUND SERVICES, LLC
December 13, 2007 - November 3, 2008
FORESIDE FUND SERVICES, LLC
July 3, 2001 - December 31, 2005
ALPS DISTRIBUTORS, INC.
June 7, 1996 - January 10, 2001
FUNDS DISTRIBUTOR, LLC
November 11, 1993 - February 10, 1995
FUNDS DISTRIBUTOR, LLC
September 20, 1993 - January 31, 1995
JULIUS BAER SECURITIES 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
Current Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 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.
