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CARMON J ERICKSON
Carmon Erickson, CARMON J SWANSON, CARMON J WENGE, CARMON J. WENGE
CRD#: 4783474
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 13815 FNB Parkway Suite 300
OMAHA, NE 68154-5220
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2010 (3 years)2 FIRMS2010 - 2020 (10 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Arizona 3/15/2021

IA
Nebraska 3/16/2021

B
California 3/15/2021

B
New Mexico 3/15/2021

B
Florida 3/15/2021

B
North Dakota 3/15/2021

B
Iowa 3/17/2021

B
Texas 3/15/2021

B
Minnesota 3/15/2021

B
Virginia 1/19/2024

B
Nebraska 3/15/2021

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, 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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 3/16/2021

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 3/15/2021

Previous Registration(s)
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IA
05/21/2010 - 11/24/2020 MORGAN STANLEY (CRD#:149777) OMAHA, NE
B
05/20/2010 - 11/24/2020 MORGAN STANLEY (CRD#:149777) OMAHA, NE
IA
10/10/2006 - 05/20/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OMAHA, NE
B
10/05/2006 - 05/20/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OMAHA, NE
IA
10/07/2005 - 09/07/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RALSTON, NE
B
06/10/2005 - 09/07/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RALSTON, NE
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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.