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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Carrington is a financial advisor in Houston, Texas. Erik has been in the financial industry since March 20, 1997. Currently, Erik is registered with Cetera Investment Advisers LLC. Erik has held previous registrations with Hancock Whitney Investment Services Inc., Morgan Keegan & Company, Inc., Bosc, Inc., Chase Investment Services Corp., UBS Financial Services Inc., Morgan Stanley DW Inc., and Olde Discount Corporation. Erik is a Registered Representative (RR) and an Investment Advisor Representative (IAR). Erik holds the following securities licenses: Series 31, Series 7, Series 52, and Series 63, Series 65. Erik has passed the Securities Industry Essentials (SIE) Exam.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
TX
08/10/2022 - Present
Cetera Investment Advisers LLC (HOUSTON TX)
TX
06/07/2012 - 08/10/2022
HANCOCK WHITNEY INVESTMENT SERVICES INC. (HOUSTON TX)
TN
04/04/2008 - 12/09/2011
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
TX
10/19/2005 - 08/31/2007
BOSC, INC. (HOUSTON TX)
IL
05/27/2004 - 10/06/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NJ
10/18/2002 - 05/26/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/19/1996 - 10/24/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
MI
12/05/1995 - 04/15/1996
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 08/08/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 08/01/1996
Series 7 - General Securities Representative Examination
BC
Issued 12/01/1995
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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