Ernest G. Simpson

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CRD#: 424798

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 Gary Simpson, who also goes by Ernie Simpson, was a registered financial professional .

Ernest is a previously registered financial professional and started their career in finance in 1974. Ernest had worked at 16 firms and has passed the Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ernie Simpson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 7, 2014 - April 8, 2016

MEASURED RISK PORTFOLIOS

RIA

CRD#: 141422

SAN DIEGO, CA

Past

October 21, 2005 - September 15, 2020

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

CARLSBAD, CA

Past

December 17, 2004 - October 21, 2005

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 125953

ALAMO, CA

Past

December 17, 2004 - September 15, 2020

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

CARLSBAD, CA

Past

December 16, 1997 - December 31, 2004

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

WALNUT CREEK, CA

Past

August 15, 1995 - December 31, 2004

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 4, 1994 - August 22, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 25, 1991 - January 4, 1994

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

June 13, 1991 - July 29, 1991

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

September 19, 1990 - June 20, 1991

HERRMANN SECURITIES, INC.

CRD#: 17703

Past

March 2, 1989 - October 12, 1990

KAVANAUGH SECURITIES, INC.

CRD#: 10606

DALLAS, TX

Past

June 6, 1988 - February 7, 1989

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

PETALUMA, CA

Past

March 10, 1988 - September 6, 1988

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 24, 1987 - March 24, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 9, 1979 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

April 7, 1978 - June 17, 1979

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

June 22, 1976 - May 21, 1978

PUTNAM FUND DISTRIBUTORS, INC.

CRD#: 684

Past

March 19, 1974 - June 11, 1976

SAGE FINANCIAL CORPORATION

CRD#: 443

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".

MEASURED RISK PORTFOLIOS

KINGSROAD FINANCIAL & INSURANCE SERVICES | MEASURED RISK PORTFOLIOS, INC. | MEASURED RISK PORTFOLIOS | KINGSROAD FINANCIAL INSURANCE SERVICES, INC.

CRD#: 141422 / SEC#: 801-80124

RIA

Registered Investment Advisory firm - (8/14/2014 Approved)

California

Registered Investment Advisory firm - (10/3/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (9/4/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/18/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/14/1974

Registered Representative Examination

Current Firm

MEASURED RISK PORTFOLIOS

KINGSROAD FINANCIAL & INSURANCE SERVICES | MEASURED RISK PORTFOLIOS, INC. | MEASURED RISK PORTFOLIOS | KINGSROAD FINANCIAL INSURANCE SERVICES, INC.

CRD#: 141422 / SEC#: 801-80124

RIA

Registered Investment Advisory firm - (8/14/2014 Approved)

California

Registered Investment Advisory firm - (10/3/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (9/4/2014 Terminated)

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Contact information

Main Address

5230 Carroll Canyon Road #224, San Diego, CA 92121

Mailing Address

Phone number

(858) 935-1125

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,456
AUM (Assets Under Management)	$ 399,968,279

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.

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Advisor Monitoring

Firm Stability Insights

Ernest G. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

CETERA WEALTH SERVICES, LLC

HERRMANN SECURITIES, INC.

KAVANAUGH SECURITIES, INC.

INVESTMENT ARCHITECTS, INC.

U.S. ADVISORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

PUTNAM FUND DISTRIBUTORS, INC.

SAGE FINANCIAL CORPORATION

Primary Firm SEC Registration

MEASURED RISK PORTFOLIOS

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/2000

SIE

Date: 10/1/2018

Series 1

Date: 3/14/1974

Current Firm

MEASURED RISK PORTFOLIOS

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MEASURED RISK PORTFOLIOS

TRUST BUT VERIFY

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