ES
Ernest G. Strauss
DAI SECURITIES
Atlanta, GA 30345
Some features on this profile are disabled
CRD#: 4660664
ES
Professional summary
Ernest George Strauss IV, who also goes by Ernest George Strauss, is a registered financial professional currently at DAI SECURITIES, LLC located in Atlanta, Georgia.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 2003. Ernest has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 51, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ernest George Strauss
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.
CRS (Client Relationship Summary) - BD
Click below to view Ernest George Strauss IV's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 17, 2019 - Present
DAI SECURITIES, LLC
Office #1: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Office #2: 1500 Sunday Dr Suite 300, Raleigh, NC 27607Office #8: 445 Broad Hollow Road Ste 25, Melville, NY 11747Office #9: 111 Monument Circle Suite 2700, Indianapolis, IN 46204Office #10: 3495 Piedmont Road Bldg 10 Ste 115, Atlanta, GA 30305Office #11: 115 St Andrews Drive Suite 200, Mankato, MN 56001Office #12: 160 Federal St 9th Floor, Boston, MA 02110Office #13: 900 S Pine Island Rd Suite 110, Fort Lauderdale, FL 33324Office #15: 8 Pleasant Street Unit 2b, Natick, MA 01760Office #16: 225 S Lake Avenue Suite400, Pasadena, CA 91101Office #17: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Office #18: 130 N. 18 Street Suite 3000, Philadelphia, PA 19002BD
CRD#: 36673
Atlanta, GA
Past
June 16, 2006 - April 10, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
NORCROSS, GA
Past
December 7, 2005 - May 12, 2006
GLOBAL HUNTER SECURITIES, LLC
BD
CRD#: 123003
NEW ORLEANS, LA
Past
June 30, 2005 - May 12, 2006
WIZER FINANCIAL, INC.
BD
CRD#: 7130
NEW ALBANY, IN
Past
March 2, 2005 - May 12, 2006
J.S.H. TRADING, LLC
BD
CRD#: 46499
PALM BEACH, FL
Past
October 26, 2004 - May 12, 2006
PACIFIC CENTURY SECURITIES, LLC
BD
CRD#: 131607
NEW YORK, NY
Past
August 17, 2004 - May 16, 2006
CE CAPITAL ADVISORS, INC.
BD
CRD#: 130959
MARLBOROUGH, MA
Past
June 7, 2004 - May 12, 2006
HARBOR LIGHT SECURITIES, LLC
BD
CRD#: 130227
TAMPA, FL
Past
May 7, 2004 - July 21, 2004
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
BD
CRD#: 130390
RALEIGH, NC
Past
February 18, 2004 - December 21, 2005
QUADRISERV SECURITIES, INC.
BD
CRD#: 128343
NEW YORK, NY
Past
February 16, 2004 - November 22, 2004
GREENTREE BROKERAGE SERVICES, INC.
BD
CRD#: 45316
PHILADELPHIA, PA
Past
June 23, 2003 - January 13, 2005
US TAX ADVISORY GROUP, INC.
BD
CRD#: 125867
SARASOTA, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/17/2020)
RR
Alaska(2/3/2020)
RR
Arizona(4/17/2019)
RR
Arkansas(4/17/2019)
RR
California(4/17/2019)
RR
Colorado(4/17/2019)
RR
Connecticut(1/2/2020)
RR
Delaware(3/31/2022)
RR
District of Columbia(2/19/2020)
RR
Florida(4/17/2019)
RR
Georgia(4/17/2019)
RR
Hawaii(2/18/2020)
RR
Idaho(4/17/2019)
RR
Illinois(4/17/2019)
RR
Indiana(1/13/2020)
RR
Iowa(4/17/2019)
RR
Kansas(4/17/2019)
RR
Kentucky(4/17/2019)
RR
Louisiana(4/17/2019)
RR
Maine(3/18/2020)
RR
Maryland(1/15/2020)
RR
Massachusetts(6/21/2019)
RR
Michigan(4/17/2019)
RR
Minnesota(4/17/2019)
RR
Mississippi(4/17/2019)
RR
Missouri(4/17/2019)
RR
Montana(4/17/2019)
RR
Nebraska(4/17/2019)
RR
Nevada(4/17/2019)
RR
New Hampshire(3/16/2020)
RR
New Jersey(3/3/2020)
RR
New Mexico(4/17/2019)
RR
New York(8/5/2019)
RR
North Carolina(4/17/2019)
RR
North Dakota(4/17/2019)
RR
Ohio(4/17/2019)
RR
Oklahoma(4/17/2019)
RR
Oregon(4/17/2019)
RR
Pennsylvania(4/17/2019)
RR
Rhode Island(11/16/2020)
RR
South Carolina(2/3/2020)
RR
South Dakota(4/17/2019)
RR
Tennessee(2/7/2020)
RR
Texas(4/17/2019)
RR
Utah(4/17/2019)
RR
Vermont(1/17/2020)
RR
Virginia(4/17/2019)
RR
Washington(4/17/2019)
RR
West Virginia(2/20/2020)
RR
Wisconsin(4/17/2019)
RR
Wyoming(2/27/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DAI SECURITIES, LLC
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.
CRD#: 36673 / SEC#: , 8-47393
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Phone number
(404) 531-7080
Established
Minnesota since 05/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
