Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2018 indicate that Texas-based Merrill Lynch broker/adviser Erik Littlejohn has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Littlejohn (CRD# 1910841).
Erik Littlejohn has spent 29 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 2015. Previous registrations include UBS Financial Services in Houston, Texas (2009-2015); Morgan Stanley Smith Barney in Houston, Texas (2009); Morgan Stanley & Company in Houston, Texas (2007-2009); Morgan Stanley DW in Houston, Texas (2004-2007); Citigroup Global Markets in New York, New York (1993-2004); and Lehman Brothers in New York, New York (1989-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 27, 1989; Series 3 (National Commodity Futures Examination), which he obtained on February 27, 1989; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1989. He is a registered broker and investment adviser with 14 US states: Arizona, California, Colorado, Delaware, Florida, Louisiana, Missouri, Nevada, New York, Rhode Island, Tennessee, Texas, Virginia, and Washington.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.