James Erickson, financial advisor Alta Loma CA
93 score

James Erickson

CRD Number: 1915851
Current Firm: Morgan Stanley

James Erickson (CRD# 1915851) is an Investment Advisor Representative working at Morgan Stanley in Alta Loma, CA and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Alta Loma, CA Jun 2009 - Current 7
Citigroup Global Markets Inc. Claremont, CA Jul 1993 - Jun 2009 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1989
S65 NASAA Investment Advisors Law Examination Jun 1992
Contact Info for James R. Erickson
Phone Number: 914-225-5510
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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