Brian J. 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.
Brian J Ernst, who also goes by Brian J Ernst, Brian Joseph Ernst Mr, Brian Joseph Ernst, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2024 - May 8, 2024
CADARET, GRANT & CO., INC.
May 8, 2024 - May 8, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
May 8, 2024 - May 8, 2024
SORRENTO PACIFIC FINANCIAL, LLC
May 8, 2024 - May 8, 2024
SCF SECURITIES, INC.
May 8, 2024 - May 8, 2024
NEXT FINANCIAL GROUP, INC.
May 8, 2024 - May 8, 2024
GROVE POINT INVESTMENTS, LLC
May 8, 2024 - May 8, 2024
CUSO FINANCIAL SERVICES, L.P.
May 8, 2024 - May 8, 2024
CADARET, GRANT & CO., INC.
March 15, 2022 - August 2, 2022
INDEPENDENT FINANCIAL GROUP, LLC
March 14, 2022 - August 2, 2022
INDEPENDENT FINANCIAL GROUP, LLC
October 28, 2021 - March 15, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 28, 2021 - March 15, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 15, 2017 - November 26, 2019
LPL FINANCIAL LLC
September 15, 2017 - November 26, 2019
LPL FINANCIAL LLC
July 17, 2014 - November 20, 2015
LPL FINANCIAL LLC
July 15, 2014 - November 20, 2015
LPL FINANCIAL LLC
July 26, 2013 - March 13, 2014
NEW ENGLAND SECURITIES
May 3, 2013 - March 13, 2014
NEW ENGLAND SECURITIES
August 22, 2012 - September 28, 2012
CV BROKERAGE, INC
July 5, 2011 - August 21, 2012
JACKSON SECURITIES LLC
November 18, 2010 - May 11, 2011
DOLEY SECURITIES, LLC.
August 25, 2006 - October 6, 2010
ELECTRONIC GLOBAL SECURITIES, INC.
December 19, 2001 - August 1, 2002
COWEN AND COMPANY
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/15/2006
Limited Representative-Equity Trader ExamCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
