Ervin Z. Pierrephilippe
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.
Ervin Zacharie Pierrephilippe, who also goes by Ervin Philips, Ervin Z Pierrephilippe, was a registered financial professional .
Ervin is a previously registered financial professional and started their career in finance in 1998. Ervin had worked at 14 firms and has passed the Series 63, SIE 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
July 20, 2022 - February 20, 2024
ARETE WEALTH MANAGEMENT, LLC
April 7, 2010 - July 21, 2022
NATIONAL SECURITIES CORPORATION
January 7, 2009 - February 12, 2010
NATIONAL SECURITIES CORPORATION
December 16, 2008 - January 8, 2009
AMERICAN CAPITAL PARTNERS, LLC
April 7, 2006 - December 22, 2008
EMPIRE FINANCIAL GROUP, INC.
November 2, 2005 - April 27, 2006
J.P. TURNER & COMPANY, L.L.C.
August 13, 2004 - November 3, 2005
BRUNDYN SECURITIES INC.
January 6, 2004 - July 23, 2004
GRANITE ASSOCIATES, INC
April 21, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
December 23, 2000 - May 20, 2003
HARRISON SECURITIES, INC.
April 28, 2000 - December 20, 2000
BROADBAND CAPITAL MANAGEMENT, LLC
September 18, 1998 - April 28, 2000
OSCAR GRUSS & SON INCORPORATED
May 29, 1998 - August 25, 1998
MILLENNIUM SECURITIES CORP.
April 23, 1998 - June 23, 1998
J. P. GIBBONS & CO., INC.
March 24, 1998 - July 17, 1998
DUKE & CO., 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
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CUCHARALE, CATHERINE | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 3054881 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| LEVINE, DAVID CHARLES | CHIEF EXECUTIVE OFFICER | |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| TROUSDALE, LAUREN NICOLE | FINANCIAL OPERATIONS PRINCIPAL | 5622407 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
