Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileErnest Cox has been in the financial services industry since April 15, 2001. Ernest is registered as a Registered Representative (RA) in California, with a registration date of April 20, 2016. Ernest currently works for Independent Financial Group, LLC. Ernest also has previous experience working at Commonwealth Financial Network, NFP Advisor Services, LLC, and Fortune Financial Services, Inc. Ernest is registered in several states including California, Arizona, Maryland, Massachusetts, Minnesota, and North Carolina. Ernest specializes in providing investment advice to individuals, businesses, pension and profit-sharing plans, and charitable organizations.
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.
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.
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.
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2
CA
04/20/2016 - Present
Independent Financial Group, LLC (Indio CA)
CA
03/22/2016 - 04/19/2016
FORTUNE FINANCIAL SERVICES, INC. (La Quinta CA)
CA
03/01/2016 - 03/02/2016
NFP ADVISOR SERVICES, LLC (LaQuinta CA)
CA
03/15/2005 - 02/29/2016
COMMONWEALTH FINANCIAL NETWORK (LA QUINTA CA)
NY
03/15/2001 - 03/02/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 04/30/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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