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ERIK ERNEST SHIFFLETT
CRD#: 4429595
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 8044 MONTGOMERY RD STE 570
TOWERS OF KENWOOD
CINCINNATI, OH 45236
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (1 year)2 FIRMS2003 - Present (21 years)
License(s)

State Registrations

B
Alabama 12/13/2018

B
Nevada 3/14/2017

B
Arizona 7/1/2003

B
New Hampshire 7/1/2003

B
California 7/1/2003

B
New Jersey 5/17/2011

B
Colorado 10/29/2012

B
New Mexico 7/1/2003

B
Connecticut 12/13/2018

B
New York 7/1/2003

B
Delaware 11/18/2013

B
North Carolina 6/21/2007

B
District of Columbia 10/17/2018

B
Ohio 7/1/2003

B
Florida 7/1/2003

IA
Ohio 7/1/2003

B
Georgia 1/9/2007

B
Oregon 12/13/2018

B
Hawaii 12/11/2019

B
Pennsylvania 10/30/2015

B
Illinois 7/1/2003

B
Rhode Island 12/11/2019

B
Indiana 7/1/2003

B
South Carolina 1/7/2009

B
Iowa 12/13/2019

B
Tennessee 1/8/2015

B
Kansas 7/15/2020

B
Texas 7/1/2003

B
Kentucky 7/1/2003

IA
Texas 8/24/2023

B
Maine 8/21/2009

B
Vermont 8/1/2008

B
Maryland 7/1/2003

B
Virginia 2/10/2009

B
Massachusetts 7/1/2003

B
Washington 12/13/2018

B
Michigan 7/1/2003

B
West Virginia 6/2/2022

B
Minnesota 2/5/2008

B
Wisconsin 5/5/2014

B
Missouri 12/21/2023

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)
8044 MONTGOMERY RD STE 570 TOWERS OF KENWOOD, CINCINNATI, OH 45236
Registered with this firm since 7/1/2003

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
8044 MONTGOMERY RD STE 570 TOWERS OF KENWOOD, CINCINNATI, OH 45236
Registered with this firm since 7/1/2003

Previous Registration(s)
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IA
04/11/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) CINCINNATI, OH
B
11/30/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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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.