Ernest R. Bemis
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 Ralph Bemis, who also goes by Ernest Ralph Bemis Mr., was a registered financial advisor .
Ernest is a previously registered financial advisor and started their career in finance in 1988. Ernest had worked at 4 firms and has passed the Series 66, Series 63, 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
December 17, 2007 - May 24, 2010
WELLS FARGO INVESTMENTS, LLC
December 7, 2007 - May 24, 2010
WELLS FARGO INVESTMENTS, LLC
September 13, 2005 - September 4, 2007
CHARLES SCHWAB & CO., INC.
June 8, 2005 - September 4, 2007
CHARLES SCHWAB & CO., INC.
March 31, 1992 - June 10, 2003
CHARLES SCHWAB & CO., INC.
July 17, 1991 - December 31, 1991
CETERA WEALTH SERVICES, LLC
May 15, 1990 - April 17, 1991
CETERA WEALTH SERVICES, LLC
July 20, 1988 - March 28, 1990
MORGAN STANLEY DW 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
Series 8
Date: 4/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
