Gary M. Ernst
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.
Gary Michael Ernst was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1996. Gary had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2012 - March 12, 2013
AMERICAN MONEY MANAGEMENT, LLC
June 16, 2010 - January 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2010 - January 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2001 - March 28, 2002
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
February 10, 1998 - November 29, 1999
WMA SECURITIES, INC.
October 25, 1996 - April 25, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
AMERICAN MONEY MANAGEMENT, LLC
CRD#: 115357 / SEC#: 801-60976
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
AMERICAN MONEY MANAGEMENT, LLC
CRD#: 115357 / SEC#: 801-60976
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,674 |
| AUM (Assets Under Management) | $ 734,010,908 |
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.
