James Richard Erickson

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-08
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2020-04-08
CA RA
APPROVED

Since 2009-06-01

Branch Locations

456 West Foothill Blvd, Claremont, CA 91711 • United States

Alta Loma, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Alta Loma	CA	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Alta Loma, CA
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

1997-07-08 → 2009-06-01

Citigroup Global Markets Inc.

Alta Loma, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-06-03
S63	Uniform Securities Agent State Law Examination	1989-01-27

S65 Uniform Investment Adviser Law Examination

1992-06-03
S63 Uniform Securities Agent State Law Examination

1989-01-27

View on SEC IAPD

Current Employers

Morgan Stanley

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

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