John D. 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.
John Dale Ernst was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - March 12, 2018
FORESTERS EQUITY SERVICES, INC.
January 4, 2007 - December 31, 2010
VOYA FINANCIAL ADVISORS, INC.
January 7, 2002 - December 31, 2006
BROOKLIGHT PLACE SECURITIES, INC.
September 4, 1997 - December 31, 2001
SUNAMERICA SECURITIES, INC.
June 15, 1994 - September 3, 1997
GUARDIAN INVESTOR SERVICES LLC
August 18, 1992 - May 6, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 18, 1992 - May 6, 1994
SIGNATOR INVESTORS, INC.
June 28, 1989 - June 30, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 28, 1989 - June 30, 1992
PRUCO SECURITIES, 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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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