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Kathleen Mary Erickson

LPl Financial LLC

Ft. Bragg, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 1997-12-31
  • CA RA
    APPROVED
    Since 1997-12-31

Branch Locations

Ft. Bragg, 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
OrganizationCityStateFromTo
Lpl Financial, Llc Ft. Bragg CA 10/1997 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-19
S63 Uniform Securities Agent State Law Examination 1985-05-31
  • S65 Uniform Investment Adviser Law Examination
    1997-08-19
  • S63 Uniform Securities Agent State Law Examination
    1985-05-31

View on SEC IAPD

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