Ernie B. Ufer
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.
Ernie Bruce Ufer was a registered financial professional .
Ernie is a previously registered financial professional and started their career in finance in 1973. Ernie had worked at 7 firms and has passed the Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2008 - January 2, 2013
EK RILEY INVESTMENTS, LLC
May 17, 2004 - February 25, 2008
FIRST ALLIED SECURITIES, INC.
March 17, 2000 - May 17, 2004
RAGEN MACKENZIE INVESTMENT SERVICES, LLC
June 9, 1987 - April 11, 2000
WELLS FARGO INVESTMENTS, LLC
October 31, 1983 - May 13, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
January 31, 1980 - November 17, 1983
UBS FINANCIAL SERVICES INC.
July 2, 1973 - January 31, 1980
BLYTH EASTMAN DILLON & CO. 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
PC
Date: 8/25/1977
AMEX Put and Call ExamSeries 1
Date: 6/26/1973
Registered Representative ExaminationSeries 8
Date: 5/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EK RILEY INVESTMENTS, LLC
CRD#: 121003 / SEC#: 801-78547, 8-65369
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EK RILEY & CO., INC. | MEMBER | |
| LOUCH, AARON DAVID | CCO / CHIEF FINANCIAL OFFICER | 2662983 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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