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Kelly Ann Erickson

Raymond James & Associates, Inc.

Eastvale, CA

Brea, CA

Newport Beach, CA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-08
TX RA APPROVED 2024-11-07
  • CA RA
    APPROVED
    Since 2024-11-08
  • TX RA
    APPROVED
    Since 2024-11-07

Branch Locations

Eastvale, CA • United States

3 Pointe Dr Ste 202, Brea, CA 92821 • United States

620 Newport Ctr Dr Suite 900, Newport Beach, CA 92660 • 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
OrganizationCityStateFromTo
Lpl Financial, Llc Anaheim CA 10/2012 11/2024
Raymond James & Associates, Inc. Newport Beach CA 11/2024 Present
Previous Registrations
  • 2012-10-22 → 2024-11-15
    Lpl Financial Llc
    Anaheim, CA
    Burbank, CA
    Anaheim, CA
    Anaheim, CA
    Anaheim, CA
  • 2011-03-03 → 2012-09-21
    Chase Investment Services Corp.
    Anaheim Hills, CA
    Placentia, CA
    Azusa, CA
    Yorba Linda, CA
    Anaheim, CA
Other Businesses

10/26/2022 - RKPL, Inc., Non-Inv Related, Eastvale, CA, Business Entity For Tax/Investment Purposes Only, Shareholder/Officer, Devote 0 Hrs/Mo.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-02
S63 Uniform Securities Agent State Law Examination 2009-07-13
  • S65 Uniform Investment Adviser Law Examination
    2011-03-02
  • S63 Uniform Securities Agent State Law Examination
    2009-07-13
Designations
Other Names
  • Kelly Krause
  • Kelly Ann Krause

View on SEC IAPD

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