Ernest S. Luna
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ernest Sanchez Luna, who also goes by Ernest S. Luna, Ernest Luna, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1982. Ernest had worked at 20 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2016 - November 17, 2016
GLOBAL VIEW CAPITAL MANAGEMENT LLC
July 17, 2014 - July 15, 2015
LEGEND ADVISORY, LLC
July 17, 2014 - July 15, 2015
LEGEND EQUITIES CORPORATION
November 28, 2011 - April 7, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
November 28, 2011 - April 7, 2014
ALLSTATE FINANCIAL SERVICES, LLC
October 5, 2009 - November 29, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - November 29, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 27, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 28, 2005 - August 2, 2007
A. G. EDWARDS & SONS, INC.
October 28, 2005 - August 2, 2007
A. G. EDWARDS & SONS, INC.
April 6, 2004 - October 5, 2005
HARRISDIRECT LLC
April 6, 2004 - October 5, 2005
HARRISDIRECT LLC
August 4, 2003 - April 16, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 10, 2002 - August 1, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 21, 2002 - June 18, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 10, 2000 - April 16, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 17, 1999 - March 13, 2000
KEYBANC CAPITAL MARKETS INC.
May 14, 1999 - December 17, 1999
KEY CLEARING CORP.
December 19, 1998 - May 14, 1999
KEY INVESTMENTS INC.
June 10, 1991 - September 14, 1998
TITAN/VALUE EQUITIES GROUP, INC.
March 22, 1990 - June 10, 1991
GOODLIN FINANCIAL, INC.
April 3, 1987 - March 10, 1990
MORGAN STANLEY DW INC.
August 30, 1984 - March 31, 1987
WAMU INVESTMENTS, INC.
January 12, 1984 - August 14, 1984
LEHMAN BROTHERS INC.
June 28, 1983 - December 27, 1983
EVANS LLEWELLYN SECURITIES, INC.
November 26, 1982 - May 4, 1983
FOSTER & MARSHALL INC.
Primary Firm SEC Registration
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,570 |
| AUM (Assets Under Management) | $ 707,976,833 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
