Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileErnest Kai-sun Au is a financial professional with over 17 years of experience in the financial services industry. Ernest is currently registered with J.p. Morgan Securities LLC and is licensed to provide investment advice in all 50 states. Ernest has previously worked at Deutsche Bank Securities Inc., RBS Securities Inc., and ABN AMRO Incorporated. Ernest holds Series 7, 63, SIE, and 79TO licenses. Ernest specializes in providing portfolio management for individuals and businesses.
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.
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
09/08/2011 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
06/30/2009 - 06/27/2011
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
CT
08/01/2008 - 06/09/2009
RBS SECURITIES INC. (GREENWICH CT)
NY
12/13/2004 - 08/04/2008
ABN AMRO INCORPORATED (NEW YORK NY)
BC
Issued 09/16/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 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
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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