Ernest Robert Smith
Professional Summary
Ernest Robert Smith was a registered financial advisor. Ernest was a previously registered financial professional and started their career in finance 1996 - 2020. Ernest had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | NATIONAL INVESTMENT SERVICES, INC. | IDS INVESTMENT SERVICES, INC.
Contact Information
Main Address
901 3rd Avenue South, Minneapolis, MN 55402Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474Phone Number
(612) 671-3662Established
Minnesota since 04/13/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | — |
| ALVERO, GUMER CRUZ | DIRECTOR | 1975307 |
| CARR, GREGORY GERARD | CHAIRMAN, DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| HORWITH, THEODORE ROBERT | VICE PRESIDENT - CONTROLLER, CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 3257001 |
| KERSWILL, HEATHER MARIE | VP OF SERVICE & OPERATIONS RISK | 5044905 |
| SHEEHAN, RICHARD | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3096567 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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