Ernest P. Baptista
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 Peter Baptista JR., who also goes by Ernest P Baptista Jr, Ernest Peter Baptista Jr, Ernest Peter Baptista, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1984. Ernest had worked at 4 firms and has passed the 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
June 14, 2006 - January 3, 2011
BOREALIS PARTNERS, LLC
January 1, 2002 - December 9, 2020
M HOLDINGS SECURITIES, INC.
October 31, 2001 - December 9, 2020
M HOLDINGS SECURITIES, INC.
March 14, 1995 - November 2, 2001
MUTUAL SERVICE CORPORATION
March 22, 1984 - April 7, 1995
MERIDIEN FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BOREALIS PARTNERS, LLC
CRD#: 139546 / SEC#: , 8-67226
Contact information
Documents
Red Flags
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