ADAM ERICKSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023252701 and 20100245289 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brewer Financial Services LLC, Respondent Broker-Dealer CRD No. 132558 Adam Erickson, Respondent General Securities Principal CRD No. 3081286 Steven Brewer, Respondent Associated Person CRD No. 2214515 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brewer Financial Services LLC,
Reference 2010023252701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3081286

Other names1

Also known as1

ADAM GARY ERICKSON

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