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Detailed Report
ELIZABETH CHANTAL ERICKSON
ELIZABETH C ERICKSON, ELIZABETH ERICKSON, LISA CHANTAL ERICKSON, LISA CHANTAL ERICKSON-MASSEY, ELIZABETH CHANTAL ERICKSONMASSEY
CRD#: 2039415
IA
Investment Adviser
B
Broker
TRANSAMERICA RETIREMENT ADVISORS, LLCCRD#: 107319 Westford, MA
TRANSAMERICA INVESTORS SECURITIES, LLCCRD#: 32205 Westford, MA
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)BDIVERSIFIED INVESTORS SECURITI... (CRD# 32205)2007 - 2008 (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2005 (3 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1994 - 2001 (7 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1994 - 1994 (<1 year)
License(s)

State Registrations

B
Massachusetts 4/11/2019
IA
Massachusetts 8/24/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
TRANSAMERICA INVESTORS SECURITIES, LLC (CRD#:32205)
Westford, MA
Registered with this firm since 12/22/2016
IA
TRANSAMERICA RETIREMENT ADVISORS, LLC (CRD#:107319)
Westford, MA
Registered with this firm since 12/22/2016
Previous Registration(s)
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IA
 06/16/2009 - 11/17/2016 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) NORWALK, CT
B
 06/16/2009 - 11/17/2016 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WAVERLY, IA
IA
 06/30/2008 - 06/03/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WESTPORT, CT
B
 06/20/2008 - 06/03/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WESTPORT, CT
B
 05/30/2007 - 05/29/2008 DIVERSIFIED INVESTORS SECURITIES CORP. (CRD#:32205) HARRISON, NY
B
 02/27/2002 - 08/24/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 05/17/1994 - 10/16/2001 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
 03/28/1994 - 04/26/1994 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.