Ernest R. Williamson
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 Rupert Williamson JR, who also goes by Ernest R Williamson, Ernie Williamson, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1968. Ernest had worked at 12 firms and has passed the Series 66, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2013 - January 26, 2015
GRADIENT ADVISORS, LLC
March 12, 2007 - October 13, 2011
KCD FINANCIAL, INC.
January 31, 2000 - March 10, 2005
WM B AUSTIN & ASSOCIATES
February 28, 1991 - May 11, 1994
INTEGRATED FINANCIAL PLANNING SERVICES
December 18, 1987 - January 26, 2000
U.S.-WORLDWIDE FINANCIAL SERVICES, INC.
November 18, 1985 - December 31, 1989
ADVANTAGE CAPITAL CORPORATION
March 5, 1985 - November 21, 1985
AMERICAN GENERAL SECURITIES INCORPORATED
May 1, 1979 - August 12, 1985
USLIFE EQUITY SALES CORP.
December 19, 1978 - May 1, 1979
USLIFE EQUITY SALES CORP
May 9, 1977 - January 15, 1979
COMBINED SECURITY COMPANY
April 1, 1976 - May 22, 1977
SECURITIES MANAGEMENT & RESEARCH, INC.
August 16, 1968 - March 12, 1976
CIP, INC. C/O GALPEER, ALTUS & KARP
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
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 1
Date: 6/20/1968
Registered Representative ExaminationCurrent Firm
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
