Roger 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.
Roger Edward Erickson, who also goes by Roger E Erickson, Roger Edwards Erickson, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1979. Roger had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 1998 - July 10, 2012
SII INVESTMENTS, INC.
June 13, 1995 - April 3, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 26, 1992 - June 26, 1995
PIPER SANDLER & CO.
October 2, 1986 - July 7, 1992
JOHN G. KINNARD AND COMPANY, INCORPORATED
November 2, 1983 - October 10, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 24, 1983 - October 13, 1983
WOODBURY FINANCIAL SERVICES, INC.
August 31, 1982 - January 28, 1983
EDWARD JONES
December 13, 1979 - September 27, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
December 13, 1979 - September 27, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 1979 - September 27, 1982
IDS LIFE INSURANCE COMPANY
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: 12/6/1979
Registered Representative ExaminationCurrent Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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