Ernest J. Dahlman
Professional summary
Ernest John Dahlman III is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Atlanta, Georgia.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 1991. Ernest has worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ernest John Dahlman III's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2017 - Present
B. RILEY SECURITIES, INC.
Office #1: 3445 Peachtree Road Suite 1225, Atlanta, GA 30326June 30, 2016 - January 4, 2017
BROAD STREET CAPITAL MARKETS, LLC
June 24, 2013 - October 8, 2013
KINSELL, NEWCOMB & DE DIOS, INC
April 4, 2003 - September 30, 2004
CARLIN EQUITIES, LLC
March 28, 2003 - July 29, 2011
COWEN SECURITIES LLC
July 9, 2001 - March 31, 2003
PUGLISI & CO.
February 2, 1998 - May 17, 2001
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
November 11, 1992 - October 14, 1997
NASH, WEISS & CO.
September 3, 1991 - September 13, 1991
CRAWFORD & ASSOCIATES, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/21/2020)
Exams
Series 55
Date: 10/23/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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