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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

ERIK LITTLEJOHN

Advisor at WELLS FARGO ADVISORS

HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jul 31, 1993 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 27, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jan 27, 1989
First registration: Jul 31, 1993
Dual registered: yes, broker-dealer
Other names: ERIK POAG LITTLEJOHN|ERIK LITTLEJOHN|ERIK P LITTLEJOHN
IAPD individual key: 1910841

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Oct 22, 2020	n/a	yes	HOUSTON, TX	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 30, 2015	Oct 23, 2020	no	HOUSTON, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 2, 2009	Nov 11, 2015	no	HOUSTON, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 9, 2009	no	Houston, TX	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	HOUSTON, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 2, 2004	Apr 2, 2007	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 31, 1993	Apr 19, 2004	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Oct 23, 2020	Oct 22, 2020	-1	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 11, 2015	Oct 30, 2015	-12	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jul 9, 2009	Jul 2, 2009	-7	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Apr 19, 2004	Apr 2, 2004	-17	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:19616:TX:2020-10-23	Oct 23, 2020	Oct 22, 2020	HOUSTON, TX	Firm change
8174:7691:TX:2015-11-11	Nov 11, 2015	Oct 30, 2015	HOUSTON, TX	Firm change

Relationships

Registered with (7)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 22, 2020 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 30, 2015 to Oct 23, 2020factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 2, 2009 to Nov 11, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 9, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 2, 2004 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 31, 1993 to Apr 19, 2004factForm ADV

Dated events

No dated event names this entity yet.