Kevin M. Erndl

FIRST TRUST ADVISORS LP

BRENTWOOD, TN

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CRD#: 4773579

Professional summary

Kevin Michael Erndl, who also goes by Kevin M Erndl, Kevin Michael Erndl, Kevin M Erndle, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Brentwood, Tennessee.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kevin has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin M Erndl | Kevin Michael Erndl | Kevin M Erndle

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.

1. TRANSCENDENT TRAINING AQUATICS LLC; ATHLETIC COACHING AND EDUCATION SERVICES; 13275 LIVINGSTON RD, NAPLES, FL; COACHING AND TRAINING COMPETITIVE SWIMMERS, TRIATHLETES, CYCLISTS, AND RUNNERS; 8 AFTER BUSINESS HOURS; 0 DURING BUSINESS HOURS; 2009** 2. ERNDL HOLDINGS LP HOLDING COMPANY; INVESTMENTS; LIMITED PARTNER; NAPLES, FL; NO TIME SPENT DURING AND AFTER BUSINESS; 07/2004 3. CWA Asset Management, LLC., 9130 Galleria Court, Naples, FL 34109, Investment Adviser Representative, 02/2016 Start Date, 0-8 hours a day & during trading hours, Registered Investment Adviser 4. GYROSCOPE ENHANCED LIQUID INCOME FUND GP, 9130 Galleria Court, Naples, FL 34109, GENERAL PARTNER 5. First Trust Investment Solutions, L.P. 9130 Galleria Court, Naples, FL 34109, Chief Investment Officer, 09/2023 Start Date, 0-8 hours a day & during trading hours. Executive Officer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Erndl's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 18, 2024 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

BRENTWOOD, TN

Past

June 10, 2024 - December 20, 2024

FIRST TRUST INVESTMENT SOLUTIONS L.P.

RIA

CRD#: 328327

NAPLES, FL

Past

August 8, 2022 - October 3, 2023

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

RIA

CRD#: 142672

NAPLES, FL

Past

March 15, 2016 - April 30, 2025

CWA ASSET MANAGEMENT GROUP

RIA

CRD#: 158940

NAPLES, FL

Past

March 19, 2013 - March 7, 2016

MORGAN STANLEY

RIA

CRD#: 149777

NAPLES, FL

Past

March 18, 2013 - March 7, 2016

MORGAN STANLEY

CRD#: 149777

NAPLES, FL

Past

December 1, 2008 - April 3, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

NAPLES, FL

Past

November 24, 2008 - April 3, 2013

LPL FINANCIAL LLC

CRD#: 6413

NAPLES, FL

Past

August 16, 2005 - January 24, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NAPLES, FL

Past

July 12, 2005 - January 24, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NAPLES, FL

Past

April 9, 2004 - May 2, 2005

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/18/2024)

IAR

Tennessee
(5/9/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/12/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/16/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/11/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Kevin M. Erndl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Erndl's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST INVESTMENT SOLUTIONS L.P.

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

CWA ASSET MANAGEMENT GROUP

MORGAN STANLEY

MORGAN STANLEY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 8/12/2005

Series 63

Date: 4/16/2004

SIE

Date: 3/7/2016

Series 7

Date: 7/11/2005

Series 6

Date: 4/8/2004

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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