Ernest M. Back
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 M Back was a registered financial advisor .
Ernest is a previously registered financial advisor and started their career in finance in 1997. Ernest had worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2009 - July 15, 2010
CERVINO CAPITAL MANAGEMENT LLC
April 3, 2001 - May 13, 2009
UBS FINANCIAL SERVICES INC.
March 15, 2001 - May 13, 2009
UBS FINANCIAL SERVICES INC.
August 6, 1997 - March 23, 2001
CITIGROUP GLOBAL MARKETS INC.
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
No current employment
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
