Karl Alvin Ernst Jr
Professional Summary
Karl Alvin Ernst JR, who also goes by Karl Alvin Jr Ernst, Skip Ernst Jr, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Miami, Florida. Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Karl has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Karl Alvin Jr Ernst, Skip Ernst Jr
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
Years of Experience
36 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
Current Firm
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
Contact Information
Main Address
1717 Arch Street, Philadelphia, PA 19103Mailing Address
1717 Arch Street, Philadelphia, PA 19103Phone Number
(215) 665-6000Established
Delaware since 08/27/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,404SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | — |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory Assets Under Management
Total Number of Accounts
243,808AUM (Assets Under Management)
$110,113,690,076Disclosures
Regulatory Event
54Arbitration
67Bond
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | Cover Page | Report |
| 03/21/2025 | Cover Page | Report |
| 10/09/2024 | Cover Page | Report |
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
(3/5/2019)
(3/5/2019)
(8/9/2022)
(3/5/2019)
(3/11/2019)
(3/5/2019)
(8/18/2021)
(5/6/2019)
(12/3/2025)
(4/22/2025)
(3/5/2019)
(3/5/2019)
(3/5/2019)
(6/12/2025)
(3/5/2019)
(3/5/2019)
(9/13/2024)
(3/5/2019)
(3/5/2019)
(3/12/2019)
(3/5/2019)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - RIA
Click below to view Karl Alvin Ernst JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karl Alvin Ernst JR's CRS (Customer Relationship Summary).
Similar Advisors
EAGLE STRATEGIES LLC
JANNEY MONTGOMERY SCOTT LLC
MONEY CONCEPTS CAPITAL CORP
PFS INVESTMENTS INC.