Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileErnest Caponegro is a financial professional with over 40 years of experience in the industry. Ernest has a wide range of experience, having held positions at various firms including National Securities Corporation, Southeast Investments, N.C., Inc., Garden State Securities, Inc., First Montauk Securities Corp., and Robert Thomas Securities, Inc. Ernest holds multiple licenses and registrations including Series 3, 7, 8, 9, 10, 15, 24, 52TO, 53, 63, and 65. Ernest is currently registered with Osaic Advisory Services, LLC as a Registered Representative. Ernest provides a variety of financial services, including financial planning, pension consulting, educational seminars, and portfolio management.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
GA
10/15/2024 - Present
Osaic Advisory Services, LLC (ATLANTA GA)
NJ
04/12/2016 - 07/02/2020
NATIONAL SECURITIES CORPORATION (POINT PLEASANT NJ)
NJ
12/10/2013 - 04/05/2016
SOUTHEAST INVESTMENTS, N.C., INC. (POINT PLEASANT NJ)
NJ
02/09/2012 - 11/27/2013
SOUTHEAST INVESTMENTS, N.C., INC. (POINT PLEASANT NJ)
NJ
11/17/2008 - 02/06/2012
GARDEN STATE SECURITIES, INC. (POINT PLEASANT NJ)
NJ
01/14/1999 - 11/19/2008
FIRST MONTAUK SECURITIES CORP. (PT PLEASANT NJ)
FL
04/28/1998 - 12/31/1998
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
NY
02/11/1995 - 05/12/1998
GILFORD SECURITIES INCORPORATED (NEW YORK NY)
NY
08/25/1994 - 01/27/1995
FIRST HANOVER SECURITIES, INC. (STATEN ISLAND NY)
NY
01/02/1992 - 08/02/1994
EMANUEL AND COMPANY (NEW YORK NY)
NY
05/07/1990 - 01/07/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/07/1982 - 05/23/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
03/05/1982 - 11/10/1987
PHILIPS, APPEL & WALDEN, INC.
IA
Issued 07/31/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/25/1994
Series 24 - General Securities Principal Examination
BC
Issued 02/10/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/28/1993
Series 4 - Registered Options Principal Examination
BC
Issued 09/20/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 01/04/1983
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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