Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Littlejohn is a financial advisor with over 30 years of experience in the industry. Erik currently works with Wells Fargo Clearing Services, LLC and has held previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. He is a registered representative in Texas and holds the Series 3, 7, and 63 licenses. Erik provides financial planning, portfolio management services for businesses and individuals, and investment consulting services to institutional clients. He is also licensed to provide investment advisory services in Texas.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
10/22/2020 - Present
Wells Fargo Clearing Services, LLC (HOUSTON TX)
TX
10/30/2015 - 10/23/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
07/02/2009 - 11/11/2015
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
06/01/2009 - 07/09/2009
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HOUSTON TX)
TX
04/02/2004 - 04/02/2007
MORGAN STANLEY DW INC. (HOUSTON TX)
NY
07/31/1993 - 04/19/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/24/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 01/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/1989
Series 3 - National Commodity Futures Examination
BC
Issued 01/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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