Inactive

Erik Smith

Claim This Profile

Current Employers

401 Financial

San Diego, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-01-01

CA RA
APPROVED

Since 2025-01-01

Branch Locations

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Principal	Des Moines	IA	08/2015	04/2019
Us Bank	Milwaukee	WI	04/2019	02/2020
Roell Capital Management (Mass Mutual)	Milwaukee	WI	02/2020	10/2021
401 Financial, Llc	San Diego	CA	06/2022	Present
Onramp	San Diego	CA	10/2021	06/2022

08/2015 → 04/2019

Principal

Des Moines, IA
04/2019 → 02/2020

Us Bank

Milwaukee, WI
02/2020 → 10/2021

Roell Capital Management (Mass Mutual)

Milwaukee, WI
06/2022 → Present

401 Financial, Llc

San Diego, CA
10/2021 → 06/2022

Onramp

San Diego, CA

Designations

View on SEC IAPD

More in San Diego, CA

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor