Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileAdvisors 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
03/03/2020 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
TX
03/02/2018 - 12/05/2018
TRANSAMERICA FINANCIAL ADVISORS, INC (PLANO TX)
TX
08/05/2011 - 04/13/2016
MORGAN STANLEY (DALLAS TX)
MO
11/30/2009 - 08/03/2011
WFG INVESTMENTS, INC. (CREVE COEUR MO)
TX
09/21/2009 - 11/23/2009
SWS FINANCIAL SERVICES (DALLAS TX)
TX
06/01/2009 - 09/24/2009
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
04/10/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
MD
02/26/2003 - 05/06/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
TN
02/06/2003 - 02/19/2003
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
04/01/2002 - 12/12/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/08/2001 - 03/28/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 6/5/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/7/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/11/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 5/14/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/7/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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