Ernesto Aguilar

BROADWAY WEALTH SOLUTIONS

San Antonio, TX 78209

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CRD#: 4936290

Professional summary

Ernesto Aguilar, who also goes by Ernesto Aguilar Jr, is a registered financial advisor currently at BROADWAY WEALTH SOLUTIONS located in San Antonio, Texas.

Ernesto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Ernesto has worked at 11 firms and has passed the Series 63, Series 66, Series 6TO, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ernesto Aguilar Jr

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernesto Aguilar'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

April 12, 2023 - Present

BROADWAY WEALTH SOLUTIONS

Office #1: 1177 N.e. Loop 410 5th Floor, San Antonio, TX 78209

RIA

CRD#: 291753

San Antonio, TX

Past

October 19, 2022 - March 16, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

San Antonio, TX

Past

October 19, 2022 - March 16, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

San Antonio, TX

Past

September 29, 2020 - August 26, 2022

BROADWAY WEALTH SOLUTIONS

RIA

CRD#: 291753

SAN ANTONIO, TX

Past

September 24, 2018 - September 24, 2020

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

San Antonio, TX

Past

September 24, 2018 - September 24, 2020

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

San Antonio, TX

Past

March 23, 2018 - August 31, 2018

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

San Antonio, TX

Past

March 22, 2018 - August 31, 2018

BBVA SECURITIES INC.

CRD#: 27060

SAN ANTONIO, TX

Past

April 24, 2017 - February 26, 2018

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

San Antonio, TX

Past

April 24, 2017 - February 26, 2018

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

San Antonio, TX

Past

March 18, 2016 - April 13, 2017

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

March 1, 2016 - April 13, 2017

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

SAN ANTONIO, TX

Past

October 1, 2012 - March 1, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

SAN ANTONIO, TX

Past

September 13, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAN ANTONIO, TX

Past

March 3, 2011 - September 5, 2012

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

September 12, 2008 - February 1, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAN ANTONIO, TX

Past

January 14, 2008 - August 20, 2008

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

CHICAGO, IL

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".

BROADWAY WEALTH SOLUTIONS

BROADWAY SERVICES, INC. | BROADWAY WEALTH SOLUTIONS, INC. | BROADWAY WEALTH SOLUTIONS

CRD#: 291753 / SEC#: 801-124953

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

Texas

Registered Investment Advisory firm - (5/31/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(4/14/2025)

IAR

Texas
(4/12/2023)

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

Series 63

Date: 12/16/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/17/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 9/20/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/11/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROADWAY WEALTH SOLUTIONS

BROADWAY SERVICES, INC. | BROADWAY WEALTH SOLUTIONS, INC. | BROADWAY WEALTH SOLUTIONS

CRD#: 291753 / SEC#: 801-124953

RIA

Registered Investment Advisory firm - (5/5/2022 Approved)

Texas

Registered Investment Advisory firm - (5/31/2022 Terminated)

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Contact information

Main Address

1177 N.e. Loop 410 5th Floor, San Antonio, TX 78209

Mailing Address

Phone number

(210) 283-6600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,171
AUM (Assets Under Management)	$ 265,787,591

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/04/2024	Cover Page	Report
10/13/2023	Cover Page	Report
01/19/2023	Cover Page	Report

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

Ernesto Aguilar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernesto Aguilar's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BROADWAY WEALTH SOLUTIONS

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

STATE FARM VP MANAGEMENT CORP.

CHASE INVESTMENT SERVICES CORP.

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

BROADWAY WEALTH SOLUTIONS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/2022

Series 66

Date: 3/17/2016

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 9/20/2022

SIE

Date: 10/1/2018

Series 7

Date: 10/8/2012

Series 6

Date: 1/11/2008

Current Firm

BROADWAY WEALTH SOLUTIONS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BROADWAY WEALTH SOLUTIONS

TRUST BUT VERIFY

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