Brian J Ernst
Professional Summary
Brian J Ernst, who also goes by Brian J Ernst, Brian Joseph Ernst Mr, Brian Joseph Ernst, was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 2001 - 2024. Brian had worked at 16 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 55 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brian J Ernst, Brian Joseph Ernst Mr, Brian Joseph Ernst
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ADAMS LAVENTURA & ASSOCIATES | THE RETIREMENT OPTIMIZATION GROUP | SYRACUSE WEALTH MANAGEMENT | SPARTAN WEALTH MANAGEMENT | SC PARKER LLC | SC FINANCIAL GROUP LLC | ROBERT F. FAHEY JR. & ASSOCIATES | PROFESSIONAL FINANCIAL CONSULTANTS LLC | POMBO WEALTH MANAGEMENT | PETERSEN ADVISORS | MARATHON FINANCIAL ADVISORS, INC. | MARASCO WEALTH | LAWSON WINCHESTER WEALTH MANAGEMENT | INSIGHT FINANCIAL | EMS WEALTH MANAGEMENT | CYPRESS PRIVATE WEALTH | CAPITAL MANAGEMENT STRATEGIES LLC | CAPITAL MANAGEMENT GROUP OF NIAGARA | CADARET, GRANT & CO., INC. | CADARET GRANT & CO INC | BRIARWOOD WEALTH MANAGEMENT, LLC | BNL SECURITIES INC.
Contact Information
Main Address
100 Madison Street Suite 1300, Syracuse, NY 13202Phone Number
(800) 288-8601Established
Delaware since 04/16/1981Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
692Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
25,442AUM (Assets Under Management)
$7,671,069,034Disclosures
Regulatory Event
17Arbitration
4Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | Cover Page | Report |
| 01/10/2024 | Cover Page | Report |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 2006Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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