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Steven Ernest

STONELIVING SECURITIES
West Palm Beach, FL
Some features on this profile are disabled
CRD#: 5676698
SE

Professional summary

Steven Ernest, who also goes by Steven Michael Ernest, is a registered financial professional currently at STONELIVING SECURITIES, LLC located in West Palm Beach, Florida.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2011. Steven has worked at 7 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Michael 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.
The advisor shows no other business activity.

CRS (Client Relationship Summary) - BD

Click below to view Steven Ernest'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®
None

Experience

Current

May 2, 2024 - Present

STONELIVING SECURITIES, LLC

BD
CRD#: 153565
West Palm Beach, FL
Past

January 5, 2022 - May 10, 2022

BEECH HILL SECURITIES, INC.

BD
CRD#: 24771
NEW YORK, NY
Past

September 11, 2019 - May 6, 2020

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

April 9, 2019 - September 24, 2019

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

October 31, 2017 - May 2, 2018

YOSEMITE EXECUTION PARTNERS INC.

BD
CRD#: 165587
SAN FRANCISCO, CA
Past

May 17, 2012 - May 9, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

May 17, 2012 - May 9, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

February 6, 2012 - May 15, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CHICAGO, IL
Past

April 18, 2011 - May 15, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL

State Registrations and Notice Filings

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

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
(5/2/2024)
RR
Illinois
(5/2/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/2/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/31/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONELIVING SECURITIES, LLC
STONELIVING SECURITIES, LLC

CRD#: 153565 / SEC#: , 8-68551

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
233 8th Street, West Palm Beach, FL 33401
Mailing Address
233 8th Street, West Palm Beach, FL 33401
Phone number
(312) 670-5900
Established
Delaware since 02/22/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHICAGO ATLANTIC BD HOLDINGS, LLCOWNER
KESSEL, JOSEPH KEITHCCO3084333
MILES, STEPHEN JOHNCEO, EXEC. REP, AMLCO3093225
STEWART, SCOTT ALEXANDERFINOP/POO/PFO6977422

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.

Company Information

STONELIVING SECURITIES, LLC

CRD#: 153565West Palm Beach, FL

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