Thomas C. Ernst
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.
Thomas Carl Ernst JR, who also goes by Thomas Carl Ernst, Thomas Carl Ernst, Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2016 - February 18, 2019
SPURRIER CAPITAL PARTNERS LLC
August 19, 2013 - August 5, 2015
GOLDMAN SACHS & CO. LLC
April 29, 2004 - July 8, 2013
DEUTSCHE BANK SECURITIES INC.
March 23, 2000 - April 20, 2004
THOMAS WEISEL PARTNERS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SPURRIER CAPITAL PARTNERS LLC
CRD#: 173524 / SEC#: , 8-69540
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INTERNATIONAL, LP | OWNER | |
| SPURRIER, CLARK ANDREW | MANAGING PARTNER, CHIEF EXECUTIVE OFFICER, EXECUTIVE REPRESENTATIVE AND CHIEF COMPLIANCE OFFICER | 2636419 |
Red Flags
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