Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Auvern Ernst is a financial advisor with Raymond James Financial Services Advisors, Inc. based in Palm Beach Gardens, FL. James has been a registered representative since 2000 and has extensive experience in the financial services industry. James has a proven track record of helping clients achieve their financial goals and is committed to providing personalized advice and service.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
FL
06/10/2020 - Present
Raymond James Financial Services Advisors, Inc. (PALM BEACH GARDENS FL)
FL
07/25/2008 - 06/08/2017
WELLS FARGO CLEARING SERVICES, LLC (PALM BEACH GARDENS FL)
FL
11/06/2001 - 07/28/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (JUPITER FL)
GA
01/17/2001 - 07/26/2001
FSC SECURITIES CORPORATION (ATLANTA GA)
CT
12/19/2000 - 01/05/2001
AUERBACH, POLLAK & RICHARDSON INC. (STAMFORD CT)
CO
08/11/2000 - 12/19/2000
AMERICAN FRONTEER FINANCIAL CORPORATION (DENVER CO)
NJ
01/31/2000 - 07/26/2000
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 10/17/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/17/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/16/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2000
Series 7 - General Securities Representative Examination
BC
Issued 01/28/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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