Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileErnest Vincent Montavon is an active broker and investment advisor representative. Ernest has been in the securities industry since 1994. Ernest is currently registered with Wells Fargo Clearing Services, LLC. Ernest has been registered with this firm since November 2016. Previously, Ernest worked at FIRST UNION BROKERAGE SERVICES, INC., FIS SECURITIES, INC., MDS SECURITIES INCORPORATED and SHAWMUT BROKERAGE, INC. Ernest has Series 6, 7, 9, 10, 26, 63, and 65 securities licenses. Ernest is currently registered in Arizona, California, Colorado, Connecticut, Florida, Kentucky, Massachusetts, Minnesota, Mississippi, New Jersey, New York, North Carolina, Rhode Island, South Carolina, Tennessee, Texas, and holds an active investment advisor representative registration in Connecticut and Texas. Ernest specializes in working with individuals, high-net-worth individuals, businesses, pension and profit-sharing plans, corporations, charitable organizations, insurance companies, and investment companies.
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.
Investment consulting services to institutional clients
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
CT
10/21/2023 - Present
Wells Fargo Clearing Services, LLC (SHELTON CT)
NC
11/05/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MA
01/02/1997 - 09/11/1997
FIS SECURITIES, INC. (BOSTON MA)
IN
03/28/1994 - 12/31/1996
MDS SECURITIES INCORPORATED (CARMEL IN)
NA
02/16/1994 - 03/28/1994
SHAWMUT BROKERAGE, INC.
IA
Issued 10/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/07/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/01/1994
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/1995
Series 7 - General Securities Representative Examination
BC
Issued 02/15/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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