Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Ernst is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with approximately $10 billion to $50 billion in assets under management. Robert Ernst has been in the industry since 1996 and has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009. Robert Ernst has Series 7 and Series 66 registrations. Merrill Lynch, Pierce, Fenner & Smith Inc. offers portfolio management for businesses and individuals, pension consulting, educational seminars and selection of other advisors.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
08/12/2002 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)
RI
07/18/1995 - 04/25/2000
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
NA
07/25/1994 - 04/24/1995
BANC IV INVESTMENTS, INC.
MI
11/04/1993 - 07/19/1994
AMERICAN BROKERAGE SERVICES, INC. (DETROIT MI)
BOTH
Issued 12/17/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/16/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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