Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Ernst is an investment advisor representative with RBC Capital Markets, LLC. Gregory has been in the industry since 1986. Gregory is registered with the state of Nebraska and Texas as an Investment Advisor Representative. Gregory has a Series 65 and 63 licenses and has passed the Series 7, 31, and SIE exams. Gregory specializes in providing financial planning, pension consulting, selection of other advisors, portfolio management for individuals and businesses, and portfolio management for pooled investment vehicles. Gregory's experience includes prior work with UBS Financial Services Inc and Morgan Stanley & Co. Incorporated.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
NE
01/14/2021 - Present
RBC Capital Markets, LLC (LINCOLN NE)
NE
12/05/2008 - 01/25/2021
UBS FINANCIAL SERVICES INC. (LINCOLN NE)
NE
04/02/2007 - 12/08/2008
MORGAN STANLEY & CO. INCORPORATED (LINCOLN NE)
NE
07/19/1995 - 04/02/2007
MORGAN STANLEY DW INC. (LINCOLN NE)
NA
12/26/1986 - 07/31/1995
FIRSTIER SECURITIES, INC.
IA
Issued 12/19/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Gregory Ernst is the right advisor for you? Invested Better is here to help.
