Ernie D. Holloway

SCHWAB WEALTH ADVISORY

Westlake, TX 76262-8104

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CRD#: 5683071

Professional summary

Ernie Douglas Holloway, who also goes by Ernest C Holloway, Ernest Douglas Holloway Jr., Ernest Douglas Holloway, Ernie D Holloway, Ernie Holloway, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Westlake, Texas and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.

Ernie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Ernie has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ernest C Holloway | Ernest Douglas Holloway Jr. | Ernest Douglas Holloway | Ernie D Holloway | Ernie Holloway

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.

North Tarrant Parkway Homeowners Association|Investment Related:No|Real Estate (Non-Agent/Broker)|VP of HOA|2024-12-02|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|The vice-president shall act in the place and stead of the president in the event of his/her absence, inability or refusal to act, and shall exercise and discharge such other duties as may be required of him/her by the Board.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernie Douglas Holloway'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

January 4, 2023 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262-8104

RIA

CRD#: 159035

Westlake, TX

Current

November 3, 2017 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262

RIA

CRD#: 5393

Westlake, TX

Past

November 3, 2017 - January 11, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Tucson, AZ

Past

February 21, 2017 - October 30, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

December 17, 2010 - October 30, 2017

SCOTTRADE, INC.

CRD#: 8206

CHANDLER, AZ

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 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.

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

Alabama
(2/20/2018)

Alaska
(2/20/2018)

Arizona
(11/3/2017)

Arkansas
(2/20/2018)

California
(11/3/2017)

Colorado
(2/20/2018)

Connecticut
(2/20/2018)

Florida
(2/20/2018)

Georgia
(2/20/2018)

Hawaii
(2/20/2018)

Idaho
(2/20/2018)

Illinois
(2/20/2018)

Indiana
(2/20/2018)

Iowa
(2/20/2018)

Kansas
(2/20/2018)

Louisiana
(2/20/2018)

Maine
(2/20/2018)

Maryland
(2/20/2018)

Massachusetts
(2/20/2018)

Michigan
(2/20/2018)

Minnesota
(2/20/2018)

Mississippi
(2/20/2018)

Missouri
(2/20/2018)

Montana
(3/28/2019)

Nebraska
(2/20/2018)

Nevada
(2/20/2018)

New Hampshire
(2/20/2018)

New Jersey
(2/20/2018)

New Mexico
(2/20/2018)

New York
(2/20/2018)

North Carolina
(2/21/2018)

North Dakota
(3/28/2019)

Ohio
(2/20/2018)

Oklahoma
(2/20/2018)

Oregon
(2/20/2018)

Pennsylvania
(2/20/2018)

Rhode Island
(2/20/2018)

South Carolina
(2/20/2018)

South Dakota
(2/20/2018)

Tennessee
(2/20/2018)

Texas
(2/20/2018)

IAR

Texas
(1/4/2023)

Utah
(2/20/2018)

Vermont
(2/20/2018)

Virgin Islands
(3/28/2019)

Virginia
(2/20/2018)

Washington
(2/20/2018)

West Virginia
(2/20/2018)

Wisconsin
(2/20/2018)

Wyoming
(2/20/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/17/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/20/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/4/2014

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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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Firm Stability Insights

Ernie D. Holloway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernie Douglas Holloway's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2017

Series 63

Date: 1/20/2011

SIE

Date: 10/1/2018

Series 7

Date: 12/16/2010

Series 10

Date: 12/20/2014

Series 9

Date: 10/4/2014

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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