Ernesto A. De La Fe
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.
Ernesto A De La Fe, who also goes by La A De, Ernesto A Delafe, Ernesto Arturo Delafe, Ernesto A Delafehas, De La Fe A Ernesto A, was a registered financial professional .
Ernesto is a previously registered financial professional and started their career in finance in 1986. Ernesto had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
March 26, 2015 - March 15, 2019
LEUCADIA ASSET MANAGEMENT LLC
March 26, 2015 - March 15, 2019
JEFFERIES LLC
June 1, 2009 - December 8, 2014
MORGAN STANLEY
June 1, 2009 - December 8, 2014
MORGAN STANLEY
January 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 6, 2006 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 7, 2004 - May 3, 2006
LEHMAN BROTHERS INC.
April 11, 1994 - May 3, 2006
LEHMAN BROTHERS INC.
June 24, 1986 - March 28, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
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: 4/30/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
Contact information
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 4,042,872,103 |
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.
