Ernest M. Pacheco
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 Mark Pacheco, who also goes by Ernest M Pacheco, Mark Pacheco, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 2000. Ernest had worked at 4 firms and has passed the Series 66, Series 31, Series 34, Series 3, SIE, Series 7, Series 30 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
December 15, 2022 - May 1, 2024
THE FIRM INCORPORATED
September 29, 2017 - June 26, 2019
LPL FINANCIAL LLC
March 20, 2002 - November 20, 2003
WELLS FARGO INVESTMENTS, LLC
March 15, 2002 - November 20, 2003
WELLS FARGO INVESTMENTS, LLC
May 10, 2000 - August 2, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
THE FIRM INCORPORATED
CRD#: 322431 / SEC#: 801-126449
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 135,000,000 |
Red Flags
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