EC
Ernest Ceccato
FOUNDERS FINANCIAL ALLIANCE
Hickory, NC
Some features on this profile are disabled
CRD#: 5527596
EC
Professional summary
Ernest Ceccato JR, who also goes by Ernest John Ceccato, Ceccato Ernest Jr, Ceccato Ernest, is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Hickory, North Carolina and LPL FINANCIAL LLC located in Hickory, North Carolina.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Ernest has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ernest John Ceccato | Ceccato Ernest Jr | Ceccato Ernest
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. 9/25/2015: Ceccato Wealth Partners LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 9/25/2015 - 40 Hours Per Month/2 Hours During Securities Trading - Time Spent 25%.
2. 10/12/2015: Founders Financial Alliance LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 9/25/2015 - 120 Hours Per Month/4.5 Hours During Securities Trading - Time Spent 75%.
3. 3/30/2016: Founders Financial Alliance, LLC - DBA: (Hybrid) Ceccato Wealth Partners LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/13/2015 - 120 Hours Per Month/45 Hours During Securities Trading.
4. 4/10/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 04/05/2018 - 5 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Ceccato JR's 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®
NoneExperience
Current
September 25, 2015 - Present
FOUNDERS FINANCIAL ALLIANCE, LLC
RIA
CRD#: 173011
Hickory, NC
Current
September 25, 2015 - Present
LPL FINANCIAL LLC
Office #2: 9212 Falls Of Neuse Rd Ste 221, Raleigh, NC 27615RIA
BD
CRD#: 6413
HICKORY, NC
Past
May 20, 2013 - September 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HICKORY, NC
Past
May 20, 2013 - September 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HICKORY, NC
Past
August 8, 2008 - May 22, 2013
EDWARD JONES
RIA
CRD#: 250
HICKORY, NC
Past
June 30, 2008 - May 22, 2013
EDWARD JONES
BD
CRD#: 250
HICKORY, NC
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".
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(12/6/2021)
RR
Georgia(9/25/2015)
RR
Kentucky(5/3/2022)
RR
Maryland(10/14/2021)
RR
North Carolina(9/25/2015)
IAR
North Carolina(9/25/2015)
RR
South Carolina(9/25/2015)
RR
Virginia(9/25/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615
Mailing Address
Phone number
(855) 860-5940
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,918 |
| AUM (Assets Under Management) | $ 1,002,097,380 |
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.
