Ernest G. Sievers
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 Givhan Sievers, who also goes by Van Sievers, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1999. Ernest had worked at 2 firms and has passed the Series 65, 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
February 2, 2019 - July 31, 2020
TRUEWEALTH ADVISORS, LLC
September 23, 1999 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 18, 1999 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
Primary Firm SEC Registration
TRUEWEALTH ADVISORS, LLC
CRD#: 298838 / SEC#: 801-114236
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
TRUEWEALTH ADVISORS, LLC
CRD#: 298838 / SEC#: 801-114236
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,439 |
| AUM (Assets Under Management) | $ 438,937,842 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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