Ernest A. Womack
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 Austin Womack JR, who also goes by Ernest Austin Womack, Ernie Womack, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1971. Ernest had worked at 7 firms and has passed the Series 63, PC, Series 52, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 1990 - September 15, 2004
MORGAN KEEGAN & COMPANY, LLC
July 26, 1989 - May 14, 1990
THE INVESTMENT CENTER, INC.
September 11, 1987 - June 27, 1989
BRYAN, WORLEY & CO., INC.
December 11, 1981 - July 25, 1987
UMIC, INC.
October 2, 1978 - May 6, 1979
CARTY, HARDING & HEARN, INC.
December 19, 1975 - May 13, 1980
FIDELITY SECURITIES, INCORPORATED
August 2, 1971 - June 20, 1972
T.J. RANEY & SONS, INC
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: 1/23/1997
AMEX Put and Call ExamSeries 1
Date: 7/27/1971
Registered Representative ExaminationSeries 40
Date: 12/27/1976
Registered Principal ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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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