Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernie? Claim Your ProfileErnie Lewis, a financial advisor with over 13 years of experience, is currently registered with LPL Financial LLC. Ernie has a diverse background in the financial services industry, having worked with various firms including CUNA Brokerage Services, Inc., Investment Professionals, Inc., J.P. Morgan Securities LLC, BB&T Investment Services, Inc., PNC Investments, NatCity Investments, Inc., Morgan Stanley & Co. Incorporated, and Quest Capital Strategies, Inc. Ernie holds multiple licenses and certifications including Series 7, Series 63, Series 66, and SIE. Ernie is dedicated to providing comprehensive financial advice and services to individuals, families, and businesses, helping them achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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
IN
05/18/2022 - Present
LPL Financial LLC (NEW ALBANY IN)
IN
12/07/2016 - 05/18/2022
CUNA BROKERAGE SERVICES, INC. (NEW ALBANY IN)
KY
11/23/2015 - 08/30/2016
INVESTMENT PROFESSIONALS, INC. (Louisville KY)
IN
08/24/2013 - 12/08/2015
J.P. MORGAN SECURITIES LLC (JEFFERSONVILLE IN)
KY
09/29/2010 - 10/04/2012
BB&T INVESTMENT SERVICES, INC. (LOUISVILLE KY)
KY
11/13/2009 - 09/13/2010
PNC INVESTMENTS (LOUISVILLE KY)
KY
04/15/2009 - 11/13/2009
NATCITY INVESTMENTS, INC. (LOUISVILLE KY)
KY
01/02/2008 - 02/20/2009
MORGAN STANLEY & CO. INCORPORATED (LOUISVILLE KY)
CA
11/15/2007 - 12/03/2007
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
BOTH
Issued 04/22/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/12/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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