ET
Ernest A. Tannis
LEVEL FOUR ADVISORY SERVICES
MILTON, GA
Some features on this profile are disabled
CRD#: 3080966
ET
Professional summary
Ernest Allan Tannis, who also goes by Ernest Allan Smith, is a registered financial advisor currently at LEVEL FOUR ADVISORY SERVICES located in Milton, Georgia and LEVEL FOUR FINANCIAL, LLC located in Milton, Georgia.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ernest has worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ernest Allan Smith
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.
1. Sole proprietor of Smith-Allan Associates, LLC which is the entity I use for my part-time real estate activities. 120 Millwick Cove, Johns Creek GA 30005. I spend approximately 10-20 hours per month on this business and zero hours during the trading day. Duties with this business are passive and involve the facilitation of the purchase and sale of residential or commercial real estate when those opportunities arise. Start Date Dec 2019 2. DRIVE SMART SYSTEMS, INC., DRIVING SCHOOL, STARTED 5/13/2025, 5805 STATE BRIDGE ROAD, JOHNS CREEK, GA 30097, PROVIDE IN-VEHICLE DRIVING INSTRUCTION, DEVOTE APPROXIMATELY 80 HOURS PER MONTH OUTSIDE OF TRADING HOURS, NOT INVESTMENT RELATED. 3. CENTENNIAL VILLAGE HOMEHOWNERS ASSOCIATION, NON-PROFIT, NOT INVESTMENT RELATED, MEMBER OF BOARD OF DIRECTORS AND HOMEOWNER IN THE DEVELOPMENT, DEVOTE APPROXIMATELY 20 HOURS PER MONTH TO THIS ACTIVITY WITH 0 TIME DURING TRADING HOURS, STARTED 9/1/2022. 4. SVG LEGACY HOLDINGS, LLC, INDEPENDENT OWNER AND OPERATOR OF VALIDATOR NOTE SUPPORTING VITRUVEO BLOCKCHAIN, STARTED 5/28/2024, DEVOTE 16 HOURS PER MONTH AFTER TRADING HOURS, OWNER AND OPERATOR, NOT INVESTMENT RELATED, JOHNS CREEK, GA 30005.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Allan Tannis'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®
NoneExperience
Current
December 21, 2021 - Present
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
MILTON, GA
Current
August 3, 2020 - Present
LEVEL FOUR FINANCIAL, LLC
BD
CRD#: 25700
Milton, GA
Past
August 11, 2020 - December 21, 2021
LEVEL FOUR FINANCIAL, LLC
RIA
CRD#: 25700
Milton, GA
Past
December 3, 2019 - October 30, 2020
HB SECURITIES, LLC
BD
CRD#: 140356
Decatur, GA
Past
August 30, 2019 - August 30, 2019
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
SCHAUMBURG, IL
Past
May 28, 2019 - December 11, 2019
SB ADVISORY, LLC
RIA
CRD#: 154680
ATLANTA, GA
Past
January 31, 2018 - November 22, 2019
IFS SECURITIES
BD
CRD#: 40375
ATLANTA, GA
Past
July 29, 1999 - January 5, 2010
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
September 4, 1998 - April 2, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 4, 1998 - April 2, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/30/2020)
RR
Alaska(4/1/2021)
RR
Arizona(4/1/2021)
RR
Arkansas(4/1/2021)
RR
California(10/30/2020)
RR
Colorado(4/1/2021)
RR
Connecticut(10/30/2020)
RR
Delaware(4/1/2021)
RR
District of Columbia(4/1/2021)
RR
Florida(10/30/2020)
RR
Georgia(10/30/2020)
IAR
Georgia(12/21/2021)
RR
Hawaii(4/1/2021)
RR
Idaho(4/1/2021)
RR
Illinois(10/30/2020)
RR
Indiana(4/1/2021)
RR
Iowa(4/1/2021)
RR
Kansas(4/1/2021)
RR
Kentucky(4/1/2021)
RR
Louisiana(10/30/2020)
RR
Maine(4/1/2021)
RR
Maryland(4/1/2021)
RR
Massachusetts(4/1/2021)
RR
Michigan(4/1/2021)
RR
Minnesota(4/1/2021)
RR
Mississippi(4/1/2021)
RR
Missouri(4/1/2021)
RR
Montana(4/1/2021)
RR
Nebraska(4/1/2021)
RR
Nevada(4/1/2021)
RR
New Hampshire(4/1/2021)
RR
New Jersey(4/1/2021)
RR
New Mexico(4/1/2021)
RR
New York(4/1/2021)
RR
North Carolina(11/2/2020)
RR
North Dakota(4/1/2021)
RR
Ohio(10/30/2020)
RR
Oklahoma(10/30/2020)
RR
Oregon(10/30/2020)
RR
Pennsylvania(4/1/2021)
RR
Rhode Island(4/1/2021)
RR
South Carolina(10/30/2020)
RR
South Dakota(4/1/2021)
RR
Tennessee(4/1/2021)
RR
Texas(4/1/2021)
RR
Utah(4/1/2021)
RR
Vermont(4/1/2021)
RR
Virginia(10/30/2020)
RR
Washington(4/1/2021)
RR
West Virginia(4/1/2021)
RR
Wisconsin(4/1/2021)
RR
Wyoming(4/1/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12400 Coit Road Suite 700, Dallas, TX 75251
Mailing Address
Phone number
(972) 665-0878
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,510 |
| AUM (Assets Under Management) | $ 5,320,412,049 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2024 | ||
| 06/30/2023 |
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.
