Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernest? Claim Your ProfileErnest William Norton is a financial professional with over two decades of experience in the industry. Ernest is currently registered with Vanguard Marketing Corp. and holds a variety of licenses and certifications, including Series 7, Series 6, Series 63, and SIE. Ernest has a long history with Vanguard Marketing Corp., previously working there from 2001 to 2021. Prior to that, Ernest worked for CUNA Brokerage Services, Inc. in Waverly, Iowa. Ernest is licensed to sell securities in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.
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.
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.
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2
NC
04/22/2024 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
NC
07/11/2001 - 07/13/2021
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
IA
07/11/1994 - 12/07/1995
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
BC
Issued 06/21/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2024
Series 7TO - General Securities Representative Examination
BC
Issued 01/23/2024
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2012
Series 7 - General Securities Representative Examination
BC
Issued 07/10/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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