• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
BARBARA ANN ERICKSON
BARBARA ANN ERICKSON-KELLY
CRD#: 3084020
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 301 UNIVERSITY AVE 2ND, 3RD, & 4TH FLS
[ND-RBO]
PALO ALTO, CA 94301
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2000 - 2004 (3 years)
License(s)

State Registrations

B
Alaska 6/25/2014

B
Massachusetts 1/3/2011

B
California 1/3/2011

B
Nebraska 1/3/2011

IA
California 1/3/2011

B
Nevada 1/3/2011

B
Connecticut 1/24/2013

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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)
IA
WELLS FARGO ADVISORS (CRD#:19616)
301 UNIVERSITY AVE 2ND, 3RD, & 4TH FLS [ND-RBO], PALO ALTO, CA 94301
Registered with this firm since 1/3/2011

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
301 UNIVERSITY AVE 2ND, 3RD, & 4TH FLS [ND-RBO], PALO ALTO, CA 94301
Registered with this firm since 1/3/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/28/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PALO ALTO, CA
B
05/28/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PALO ALTO, CA
IA
09/22/2004 - 03/06/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN FRANCISCO, CA
B
05/20/2004 - 03/06/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN FRANCISCO, CA
B
07/07/2000 - 05/22/2004 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.