Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileErnest Frederick Martinez is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Ernest has been in the industry since 1993. Ernest holds Series 3, 7, 63 and 65 licenses and the SIE designation. Ernest has worked with Smith Barney Inc. and Dean Witter Reynolds Inc. prior to Merrill Lynch, Pierce, Fenner & Smith Inc. Ernest has experience working with high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations and insurance companies. Ernest specializes in portfolio management, investment advisory services, and other services such as performance measurement reports, allocation modeling, IPS, research reports and services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
06/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAGUNA NIGUEL CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FULLERTON CA)
CA
04/14/1999 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
04/03/1997 - 05/04/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
04/25/1994 - 11/27/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
09/23/1991 - 04/27/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 02/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1993
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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