Ernest H. Short
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 Harvey Short, who also goes by E H Short, Ernie Short, was a registered financial advisor .
Ernest is a previously registered financial advisor and started their career in finance in 1983. Ernest had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - January 15, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 9, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - January 15, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 28, 1997 - August 28, 1997
ARROWHEAD INVESTMENT CENTER, LLC
October 13, 1992 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 28, 1990 - October 13, 1992
EMMETT A LARKIN COMPANY, INC.
April 2, 1986 - April 30, 1990
A. G. EDWARDS & SONS, INC.
April 10, 1985 - June 18, 1985
FIRST AFFILIATED SECURITIES, INC.
January 17, 1984 - February 1, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1983 - August 28, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 8
Date: 7/2/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
