Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erick? Claim Your ProfileErick Johnson is a financial advisor with UBS Securities LLC. Erick has over 20 years of experience in the financial industry. Erick has held positions at several firms, including BNP Paribas Prime Brokerage, Inc., Banc of America Securities LLC, Thomas Weisel Partners LLC, and Banc of America Securities LLC. Erick holds a Series 63, Series 24, Series 10, Series 9, SIE, Series 3, Series 55, and Series 7 license. Erick is registered to provide securities advice in all 50 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
TX
04/03/2013 - Present
UBS Securities LLC (DALLAS TX)
TX
08/19/2008 - 11/14/2012
BNP PARIBAS PRIME BROKERAGE, INC. (DALLAS TX)
TX
07/02/2003 - 10/01/2008
BANC OF AMERICA SECURITIES LLC (DALLAS TX)
CA
09/05/2000 - 04/01/2003
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
12/11/1998 - 07/20/1999
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 12/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2008
Series 24 - General Securities Principal Examination
BC
Issued 05/15/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/25/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2016
Series 3 - National Commodity Futures Examination
BC
Issued 12/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/07/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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