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EV

Ernest R. Viola

Some features on this profile are disabled
CRD#: 2719728
EV

Professional summary

Ernest Richard Viola was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ernest is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Ernest had worked at 6 firms, which includes EDGETRADE LLC, GREAT EASTERN SECURITIES INC., TRINIX SECURITIES LLC, PMG SECURITIES CORPORATION, NEW TIMES SECURITIES SERVICES INC., PRUDENTIAL EQUITY GROUP LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ernest R Viola

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)

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®
None

Experience

Past

July 28, 2003 - November 1, 2004

EDGETRADE LLC

BD
CRD#: 42071
JERSEY CITY, NJ
Past

June 21, 2002 - June 24, 2003

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

June 1, 2001 - June 10, 2002

TRINIX SECURITIES LLC

BD
CRD#: 103360
ENCINITAS, CA
Past

June 18, 1998 - June 6, 2001

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

June 3, 1998 - June 23, 1998

NEW TIMES SECURITIES SERVICES, INC.

BD
CRD#: 34154
MELVILLE, NY
Past

January 30, 1998 - February 18, 1998

NEW TIMES SECURITIES SERVICES, INC.

BD
CRD#: 34154
MELVILLE, NY
Past

April 18, 1996 - January 15, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
IAR
Series 65
Date: 5/17/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/9/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/28/2002
General Securities Principal Examination

Current Firm

EL
EDGETRADE LLC
EDGETRADE INC. | PRECISION EDGE SECURITIES LLC | EDGETRADE.COM, INC. | EDGETRADE SECURITIES LLC | EDGETRADE LLC

CRD#: 42071 / SEC#: , 8-49684

BD
Terminated by SEC on 10/21/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/14/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KNIGHT CAPITAL GROUP, INCOWNER
DUNHAM, TIMOTHY PHILIPCHIEF FINANCIAL OFFICER AND FINOP1016294
SCHULTZ, NICOLAS ALBINCHIEF COMPLIANCE OFFICER2878891
WALD, JOSEPHMANAGING DIRECTOR2448482
ZASKY, KYLE GREGORYMANAGING DIRECTOR

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

EDGETRADE LLC

CRD#: 42071

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