Ervin R. Witherspoon
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.
Ervin Robert Witherspoon was a registered financial advisor .
Ervin is a previously registered financial advisor and started their career in finance in 1988. Ervin had worked at 27 firms and has passed the Series 63, Series 66, Series 7, Series 53 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 10, 2011 - September 16, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
February 16, 2011 - September 16, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
December 18, 2009 - May 17, 2010
BROOKVILLE CAPITAL PARTNERS
November 3, 2008 - December 15, 2009
BROOKSTONE SECURITIES, INC.
June 24, 2008 - December 15, 2009
BROOKSTONE SECURITIES, INC.
November 14, 2006 - February 12, 2008
RIDGEWAY & CONGER, INC.
June 12, 2006 - August 28, 2006
EKN FINANCIAL SERVICES INC.
February 27, 2006 - March 6, 2006
ANDREW GARRETT INC.
January 29, 2004 - March 17, 2005
LH ROSS & COMPANY, INC.
November 30, 2001 - March 12, 2003
LH ROSS & COMPANY, INC.
January 17, 2000 - November 15, 2000
LH ROSS & COMPANY, INC.
April 14, 1999 - January 10, 2000
PRESTON LANGLEY ASSET MANAGEMENT, INC.
June 16, 1998 - January 5, 1999
LH ROSS & COMPANY, INC.
April 1, 1998 - April 21, 1998
PREFERRED SECURITIES GROUP, INC.
February 13, 1996 - October 13, 1997
NORTHRIDGE CAPITAL CORPORATION
September 8, 1993 - March 22, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
February 2, 1993 - August 5, 1993
CC&Q INVESTORS DIVERSIFIED, INC.
September 22, 1992 - January 7, 1993
CORTLANDT CAPITAL CORPORATION
June 5, 1992 - August 31, 1992
MASTERS FINANCIAL GROUP, INC.
April 13, 1992 - May 29, 1992
CC&Q INVESTORS DIVERSIFIED, INC.
August 28, 1991 - April 7, 1992
WHITEHALL SECURITIES, INC.
October 15, 1990 - February 26, 1991
MALONE & ASSOCIATES, INC.
June 5, 1990 - October 15, 1990
THE WELLINGTON GROUP, INC.
March 30, 1990 - June 1, 1990
FIRST EAGLE, INC.
January 25, 1990 - March 7, 1990
LOMBARD SECURITIES CORP.
January 25, 1990 - March 27, 1990
WELLSHIRE SECURITIES, INC.
August 31, 1989 - October 24, 1989
ROBERT TODD FINANCIAL CORP.
May 10, 1989 - June 28, 1989
KIMBRIDGE & CO., INC.
December 14, 1988 - May 10, 1989
J. T. MORAN & CO., INC.
September 26, 1988 - December 12, 1988
GREENTREE SECURITIES CORP.
September 13, 1988 - September 29, 1988
POWER SECURITIES CORPORATION
August 25, 1988 - September 19, 1988
THE STUART-JAMES COMPANY, INCORPORATED
August 25, 1988 - September 27, 1988
MADISON CHAPIN ASSOCS., INC.
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
