Ernest R. Theriot
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 Robert Theriot III, who also goes by E Robert Theriot III, Ernest Robert Theriot, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1969. Ernest had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 000, Series 1, Series 24, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2015 - October 2, 2017
SALIENT CAPITAL L.P.
November 16, 2010 - February 19, 2015
ADVISORS ASSET MANAGEMENT, INC.
January 16, 2009 - August 4, 2011
XFA SECURITIES, LLC
August 23, 1983 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1969 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 5
Date: 11/17/1981
Interest Rate Options ExaminationSeries 000
Date: 6/27/1969
General Securities Principal ExaminationSeries 1
Date: 6/27/1969
Registered Representative ExaminationSeries 12
Date: 2/12/1980
NYSE Branch Manager ExaminationSeries 40
Date: 9/15/1976
Registered Principal ExaminationCurrent Firm
SALIENT CAPITAL L.P.
CRD#: 147912 / SEC#: , 8-67938
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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