James H. Ernst
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.
James Herman Ernst, who also goes by Jim Ernst, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2016 - January 6, 2017
FINANCIAL WEST GROUP
August 18, 2010 - December 31, 2013
FINANCIAL WEST GROUP
August 18, 2010 - December 31, 2013
FINANCIAL WEST GROUP
February 17, 2005 - April 29, 2010
AFA ADVISOR SERVICES LLC
November 1, 2004 - April 29, 2010
AFA FINANCIAL GROUP, LLC
January 1, 2004 - November 17, 2004
AVANTAX INVESTMENT SERVICES, INC.
August 16, 2001 - November 24, 2003
AVANTAX INVESTMENT SERVICES, INC.
June 21, 2001 - September 20, 2001
MACKEN SECURITIES, INC.
July 19, 1994 - December 31, 1994
LONDON PACIFIC SECURITIES, INC.
May 19, 1987 - October 13, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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