Ernst A. Wright
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.
Ernst Andre Wright, who also goes by Ernie Wright, was a registered financial professional .
Ernst is a previously registered financial professional and started their career in finance in 1973. Ernst had worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2012 - December 31, 2022
CAPITAL ANALYSTS
June 1, 2012 - December 31, 2022
LINCOLN INVESTMENT
June 1, 2012 - December 31, 2022
LINCOLN INVESTMENT
September 15, 2003 - June 1, 2012
CINCINNATI ANALYSTS, INC.
March 13, 1995 - June 1, 2012
CINCINNATI ANALYSTS, INC.
February 21, 1990 - March 14, 1995
FIDELITY EQUITY SERVICES CORPORATION
November 13, 1987 - January 18, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 3, 1986 - December 8, 1987
CONSECO FINANCIAL SERVICES, INC.
April 6, 1973 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/3/1973
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
