Ernest D. Roo

EDR INVESTMENT ADVISORS

EUREKA, MT 59917

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CRD#: 2993773

Professional summary

Ernest Dale Roo is a registered financial advisor currently at EDR INVESTMENT ADVISORS, LLC located in Eureka, Montana.

Ernest is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Ernest has worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

EDR FINANCIAL - OWNER/AGENT,INSURANCE SALES, LOCATED IN KALISPELL MT. SINCE 1998, DEVOTES 40 PLUS HOURS PER WEEK. IT SETS UP EMPLOYEE BENEFIT PACKAGES AND SELL INDIVIDUAL INSURANCE PRODUCTS TO THE EMPLOYEE BASE AS WELL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest Dale Roo's CRS (Customer Relationship Summary).

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

Current

July 1, 2013 - Present

EDR INVESTMENT ADVISORS, LLC

Office #1: 495 Highway 93 North, Eureka, MT 59917

RIA

CRD#: 167879

EUREKA, MT

Past

January 24, 2011 - July 6, 2011

SGL INVESTMENT ADVISORS, INC.

RIA

CRD#: 145167

MISSOULA, MT

Past

January 6, 2006 - December 31, 2010

S.G. LONG & COMPANY

RIA

CRD#: 47511

KALISPELL, MT

Past

January 3, 2006 - June 30, 2011

S.G. LONG & COMPANY

CRD#: 47511

KALISPELL, MT

Past

January 23, 2004 - December 31, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 12, 1998 - November 7, 2001

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

Past

March 4, 1998 - December 14, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Montana
(7/1/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/28/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/22/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EDR INVESTMENT ADVISORS, LLC

EDR INVESTMENT ADVISORS | EDR INVESTMENT ADVISORS, LLC

CRD#: 167879 / SEC#:

Montana

Registered Investment Advisory firm - (7/1/2013 Approved)

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Contact information

Main Address

495 Highway 93 North, Eureka, MT 59917

Mailing Address

Phone number

(406) 249-9150

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 3,511,837

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.

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Firm Stability Insights

Ernest D. Roo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest Dale Roo's CRS (Customer Relationship Summary).

Certified licenses

Experience

SGL INVESTMENT ADVISORS, INC.

S.G. LONG & COMPANY

S.G. LONG & COMPANY

MML INVESTORS SERVICES, LLC

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/28/2004

Series 63

Date: 2/27/1998

Series 7

Date: 1/22/2004

Series 6

Date: 2/27/1998

Current Firm

EDR INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EDR INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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