Ernest D. Poulos

POULOS, ERNEST, D.

Akron, OH

Some features on this profile are disabled

CRD#: 1869573

Professional summary

Ernest D Poulos is a registered financial advisor currently at POULOS, ERNEST, D. located in Akron, Ohio.

Ernest is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Ernest has worked at 5 firms and has passed the Series 66, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.Other Business Name: Ernest D. Poulos LLC 2.Investment Related? No 3.Address of Other Business: 2385 Covington Road, #303, Akron, OH 44313 4.Nature of Other Business: Personal services company for tax purposes 5.Position/Title/Relationship with Other Business: Owner/Managing Member 6.Start Date: 06/2016 7.Hours Per Month: 2-3 8.Market Hours Per Month: 0 9.Duties Related to Other Business:

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest D Poulos's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 26, 2007 - Present

POULOS, ERNEST, D.

RIA

CRD#: 142598

Akron, OH

Past

September 19, 2001 - January 12, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TALLMADGE, OH

Past

September 6, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 6, 2001 - January 12, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TALLMADGE, OH

Past

May 2, 2001 - July 26, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 15, 2000 - April 24, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 15, 2000 - April 24, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

September 6, 1988 - May 2, 1989

HALLMARK FINANCIAL GROUP, INC.

CRD#: 19033

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(1/26/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/31/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/12/2000

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/2/1988

Direct Participation Programs Representative Examination

Current Firm

POULOS, ERNEST, D.

CRD#: 142598 / SEC#:

Ohio

Registered Investment Advisory firm - (1/25/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Akron, OH

Mailing Address

Phone number

(330) 329-9899

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 6,045,380

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ernest D. Poulos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest D Poulos's CRS (Customer Relationship Summary).

Certified licenses

Experience

POULOS, ERNEST, D.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

HALLMARK FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2001

Series 7

Date: 5/12/2000

Series 22

Date: 9/2/1988

Current Firm

POULOS, ERNEST, D.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POULOS, ERNEST, D.

TRUST BUT VERIFY

Similar Advisors