Ernest M. Krauss
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.
Ernest Michael Krauss was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1973. Ernest had worked at 15 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 1997 - July 2, 1998
FINANCIAL WEST GROUP
April 11, 1996 - April 10, 1997
JOSEPH STEVENS & CO., INC.
August 7, 1995 - April 8, 1996
KENSINGTON WELLS INCORPORATED
April 13, 1993 - September 19, 1994
JOSEPHTHAL & CO., INC.
October 12, 1992 - March 6, 1993
DUKE & CO., INC.
October 7, 1991 - October 9, 1992
GRUNTAL & CO., L.L.C.
December 19, 1989 - October 1, 1991
FINANCIAL SQUARE PARTNERS
October 22, 1987 - June 30, 1988
LEHMAN BROTHERS INC.
September 26, 1985 - August 31, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
May 14, 1985 - October 7, 1985
ROONEY, PACE INC.
July 24, 1984 - May 9, 1985
D. H. BLAIR & CO., INC.
June 26, 1984 - July 10, 1984
LEHMAN BROTHERS INC.
May 28, 1975 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
June 26, 1973 - July 12, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 16, 1973 - July 7, 1973
EDWARDS & HANLY
January 11, 1973 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
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
PC
Date: 12/28/1989
AMEX Put and Call ExamSeries 000
Date: 1/11/1973
General Securities Principal ExaminationSeries 1
Date: 1/11/1973
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
