Ernest D. Templeton
Professional summary
Ernest David Templeton JR, who also goes by Ernest David (jr) Templeton, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 1987. Ernest has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ernest David Templeton JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2007 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262July 4, 2005 - September 7, 2007
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
September 15, 2004 - September 7, 2007
NYLIFE DISTRIBUTORS LLC
June 25, 2003 - August 13, 2004
TOWER SQUARE SECURITIES, INC.
January 12, 2001 - October 28, 2002
VERAVEST INVESTMENTS, INC.
June 5, 1998 - October 9, 2000
TRANSAMERICA CAPITAL, LLC
April 18, 1997 - May 6, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 25, 1996 - March 27, 1997
FIRST UNION BROKERAGE SERVICES, INC.
April 21, 1995 - April 2, 1996
CALVERT INVESTMENT DISTRIBUTORS, INC.
April 17, 1990 - October 28, 1997
THE ADVISORS GROUP, INC.
August 23, 1988 - January 25, 1989
PRUDENTIAL EQUITY GROUP, LLC
December 16, 1987 - October 28, 1997
THE ADVISORS GROUP, 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
(6/4/2013)
(10/29/2009)
(9/10/2007)
(9/10/2007)
(5/8/2012)
(9/10/2007)
(9/26/2007)
Exams
FINRA
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
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.
