EM
Ernest K. Muniz
Some features on this profile are disabled
CRD#: 2143854
EM
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 Kenneth Muniz, who also goes by E. Kenneth Muniz, Ken Muniz, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1991. Ernest had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
E. Kenneth Muniz | Ken Muniz
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
February 12, 2010 - March 28, 2017
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
SAN ANTONIO, TX
Past
February 12, 2010 - March 28, 2017
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN ANTONIO, TX
Past
May 26, 2009 - February 11, 2010
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 109771
SAN ANTONIO, TX
Past
May 19, 2009 - February 11, 2010
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
SAN ANTONIO, TX
Past
December 3, 2008 - April 15, 2009
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
BOERNE, TX
Past
December 3, 2008 - April 15, 2009
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
BOERNE, TX
Past
March 2, 2007 - December 2, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
FORT WORTH, TX
Past
December 1, 2006 - December 2, 2008
TD AMERITRADE, INC.
BD
CRD#: 7870
BOERNE, TX
Past
October 26, 2004 - December 5, 2006
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
BOERNE, TX
Past
July 11, 2003 - December 5, 2006
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
BOERNE, TX
Past
June 26, 1998 - February 27, 2003
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
May 22, 1998 - February 27, 2003
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
February 4, 1997 - May 1, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 7, 1992 - September 24, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 7, 1992 - September 24, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
May 13, 1991 - August 30, 1991
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IP
INVESTMENT PROFESSIONALS, INC.
ACCESS INVESTMENT SERVICES | TNB FINANCIAL SERVICES | TEXAS COUNTRY INVESTMENT PROFESSIONALS | TCB INVESTMENT PROFESSIONALS | SUSSEX INVESTMENT SERVICES | STATEWIDE INVESTMENT PROFESSIONALS | SSB INVESTMENT PROFESSIONALS | SOUTHERN INVESTMENT PROFESSIONALS | SOUTHERN FINANCIAL SERVICES | SMB INVESTMENT PROFESSIONALS | SECURITY FINANCIAL GROUP | SEAWAY FINANCIAL SERVICES | SCHERTZ FINANCIAL SERVICES | SAIDIS ASSET MANAGEMENT | S&T FINANCIAL SERVICES | RIO INVESTMENT PROFESSIONALS, INC. | RIO INVESTMENT PROFESSIONALS | RELIANCE INVESTMENT PROFESSIONALS | RCB FINANCIAL SERVICES | QUEENSBOROUGH INVESTMENT PROFESSIONALS | QNB FINANCIAL SERVICES | PRUITT WEALTH AND ADVISORY SOLUTIONS, LLC | PREMIER INVESTMENT SERVICES | PLAZA INVESTMENT SERVICES | PLATINUM ON WALL STREET | PEOPLES INVESTMENT PROFESSIONALS | PBA INVESTMENT SERVICES | OSWEGO COMMUNITY INVESTMENT SERVICES | NORTHWEST COMMUNITY INVESTMENT SERVICES | NORTHSTAR INVESTMENT PROFESSIONALS | NORTH VALLEY INVESTMENT PROFESSIONALS | NORTH COMMUNITY INVESTMENT SERVICES | MUTUAL INVESTMENT PROFESSIONALS | MOUNTAIN VALLEY INVESTMENT SERVICES | MOODY INVESTMENTS | MONTICELLO WEALTH MANAGEMENT | METROPOLITAN INVESTMENT SERVICES | METROPOLITAN INVESTMENT PROFESSIONALS | MARTHA'S VINEYARD SECURITIES | MARQUIS INVESTEMENT SERVICES | LONE STAR TRUST & INVESTMENTS | LONE STAR INVESTMENT PROFESSIONALS | LNB COMMUNITY INVESTMENT PROFESSIONALS | LINTON FINANCIAL, LLC | LIBERTY INVESTMENT PROFESSIONALS | LEGACY INVESTMENT PROFESSIONALS | IPI TRUST SERVICES | IPI LIFE & ANNUITY | IPI ADVICE & PLANNING SERVICES | IPI | INVESTMENT SERVICES AT KENTUCKY BANK | INVESTMENT PROFESSIONALS, INC. | INVESTMENT CENTRE AT EASTERN BANK | INDEPENDENCE FINACIAL SERVICES | HUNTINGDON VALLEY INVESTMENT PROFESSIONALS | HOME FINANCIAL SERVICES | HILLTOP INVESTMENT PROFESSIONALS | HIGH COUNTRY INVESTMENT PROFESSIONALS | HERITAGE INVESTMENT PROFESSIONALS | HCSB INVESTMENT PROFESSIONALS | HCB INVESTMENT CENTER | GREAT PLAINS INVESTMENT PROFESSIONALS | GBT INVESTMENT PROFESSIONALS | FSB WEALTH MANAGEMENT | FRONTIER INVESTMENT PROFESSIONALS | FRANKEWING INVESTMENT PROFESSIONALS | FNBC FIRST INVESTMENT PROFESSIONALS | FIRST STATE INVESTMENT PROFESSIONALS | FIRST NATIONAL INVESTMENT PROFESSIONALS OF HOPE | FIRST NATIONAL INVESTMENT PROFESSIONALS | FIRST INVESTMENT SERVICES | FIRST INVESTMENT PROFESSIONALS | FIRST FARMERS INVESTMENT SERVICES | FIRST COMMERCIAL INVESTMENT SERVICES | FIRST CLASS AMERCIAN INVESTMENT SERVICES | FIRST BRECKINRIDGE INVESTMENTS | FIRST ARKANSAS INVESTMENT PROFESSIONALS | FARMERS INVESTMENT PROFESSIONALS | FARMERS AND MERCHANTS INVESTMENT PROFESSIONALS | EVANS AND ASSOCIATES | EMP GROUP | EDGARTOWN INVESTMENT PROFESSIONALS | EDENS INVESTMENT SERVICES | ECLIPSE FINANCIAL GROUP | EASTERN MICHIGAN INVESTMENT SERVICES | EAST BOSTON INVESTMENT SERVICES | DSA FINANCIAL GROUP | DESTINY FINANCIAL | CUSTOMERS INVESTMENT SERVICES | CURRITUCK INVESTMENT PROFESSIONALS | CSB INVESTMENT SERVICES | CORNERSTONE INVESTMENT PROFESSIONALS | COMMUNITY INVESTMENT PROFESSIONALS | COMMUNITY FINANCIAL PLANNING | COMMUNITY BANK OF DUPAGE INVESTMENT SERVICES | COMMERCIAL INVESTMENT PROFESSIONALS | COMMERCE PROFESSIONALS INVESTMENT | COMMERCE INVESTMENT PROFESSIONALS | COBLE WEALTH MANAGEMENT | CNB FINANCIAL SERVICES | CLINTON INVESTMENT SERVICES | CLEAR MOUNTAIN INVESTMENTS | CITIZENS COMMUNITY INVESTMENT SERVICES | CHICAGO COMMUNITY INVESTMENT SERVICES | CENTRAL INVESTMENT SERVICES | CENTENNIAL FINANCIAL SERVICES | CAWTHORNE FINANCIAL GROUP | CASHMERE VALLEY WEALTH MANAGEMENT | CAROLINA PREMIER INVESTMENTS | CARLISLE & GUTHRIE WEALTH MANAGEMENT | CANYON INVESTMENT PROFESSIONALS | BRENHAM INVESTMENT PROFESSIONALS | BRANSON INVESTMENT PROFESSIONALS | BLUEGRASS INVESTMENT PROFESSIONALS | BLUE WATER FINANCIAL SERVICES | BALLY FINANCIAL | BADGER INVESTMENT PROFESSIONALS | B.O.M. FINANCIAL SERVICES | AVENUE INVESTMENT PROFESSIONALS | AUB INVESTMENT PROFESSIONALS | ARCHER INVESTMENT SERVICES | ANCORA WEALTH MANAGEMENT | AMERICAN INVESTMENT PROFESSIONALS | AMERICAN DREAM INVESTMENTS | ALLEGIANCE COMMUNITY INVESTMENT SERVICES...
CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
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.
