Ernesto Jr Albino
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.
Ernesto Jr Albino, who also goes by Ernest Jr Albino, Ernest Albino Jr, Ernie Albino, Ernest Albino Jr., Ernest Albino, Ernesto Albino Jr, Ernie Albino Jr., was a registered financial professional .
Ernesto Jr is a previously registered financial professional and started their career in finance in 1994. Ernesto Jr had worked at 11 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2025 - January 20, 2026
PRINCIPAL ADVISED SERVICES
July 30, 2025 - January 20, 2026
PRINCIPAL SECURITIES, INC.
February 21, 2025 - July 25, 2025
ROBINHOOD FINANCIAL, LLC
May 2, 2022 - December 11, 2024
MORGAN STANLEY
May 2, 2022 - December 11, 2024
MORGAN STANLEY
February 13, 2020 - March 30, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2020 - March 30, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2019 - December 31, 2019
CAPITAL ANALYSTS
February 27, 2019 - December 31, 2019
LINCOLN INVESTMENT
January 2, 2018 - February 1, 2019
BANCWEST INVESTMENT SERVICES, INC.
January 2, 2018 - February 1, 2019
BANCWEST INVESTMENT SERVICES, INC.
March 31, 2017 - January 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2017 - January 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 2012 - January 19, 2017
CHARLES SCHWAB & CO., INC.
October 18, 2000 - April 23, 2001
CHARLES SCHWAB & CO., INC.
January 7, 1999 - July 11, 2000
AETNA FINANCIAL SERVICES, INC.
August 8, 1994 - July 11, 2000
VOYA FINANCIAL PARTNERS, LLC
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
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.
