Richard S. Jennings

ERNST & YOUNG INVESTMENT ADVISERS LLP

TAMPA, FL 33602

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CRD#: 2312430

Professional summary

Richard Scott Jennings, CFP® is a registered financial advisor currently at ERNST & YOUNG INVESTMENT ADVISERS LLP located in Tampa, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Jennings's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

May 5, 2011 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #1: 401 E. Jackson, Tampa, FL 33602

RIA

CRD#: 110921

TAMPA, FL

Past

January 3, 1997 - March 27, 1998

FIRST LIBERTY INVESTMENT GROUP, INC.

CRD#: 3536

PHILADELPHIA, PA

Past

April 20, 1994 - November 28, 1994

TUSCANY EQUITY MANAGEMENT CORPORATI0N

CRD#: 20016

DEERFIELD BEACH, FL

Past

January 29, 1993 - September 23, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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

Florida
(5/5/2011)

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 65

Date: 3/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/30/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094

Mailing Address

Phone number

(800) 273-0588

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard S. Jennings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Jennings's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST LIBERTY INVESTMENT GROUP, INC.

TUSCANY EQUITY MANAGEMENT CORPORATI0N

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2011

Series 63

Date: 4/7/1994

Series 7

Date: 3/30/1994

Series 6

Date: 1/26/1993

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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