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Detailed Report
HOWARD DALE ERMAN
CRD#: 1055245
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 3020 OLD RANCH PKWY
STE 100
SEAL BEACH, CA 90740
Registration History
198519901995200020052010201520202025IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2022 - Present (2 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)1983 - 2022 (39 years)BUNIVERSITY SECURITIES CORPORATION (CRD# 6518)1982 - 1983 (1 year)IAERMAN RETIREMENT ADVISORY (CRD# 113903)2017 - 2022 (5 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2002 - 2022 (20 years)IAERMAN RETIREMENT ADVISORY (CRD# 113903)2011 - 2016 (5 years)
Disclosure(s)
View By:
9/23/2010
Customer Dispute
Settled
License(s)

State Registrations

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California 8/24/2022
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Texas 4/21/2023
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
3020 OLD RANCH PKWY STE 100, SEAL BEACH, CA 90740
Registered with this firm since 8/24/2022
Previous Registration(s)
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 01/26/2017 - 12/31/2022 ERMAN RETIREMENT ADVISORY (CRD#:113903) Seal Beach, CA
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 02/21/2002 - 09/23/2022 CETERA ADVISOR NETWORKS LLC (CRD#:13572) SEAL BEACH, CA
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 08/12/1983 - 09/23/2022 CETERA ADVISOR NETWORKS LLC (CRD#:13572) SEAL BEACH, CA
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 06/07/2011 - 12/31/2016 ERMAN RETIREMENT ADVISORY (CRD#:113903) SEAL BEACH, CA
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 07/22/1982 - 08/22/1983 UNIVERSITY SECURITIES CORPORATION (CRD#:6518)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.