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EC

Emily A. Claar

ERNST CAPITAL SECURITIES
Sioux Falls, SD 57103
Some features on this profile are disabled
CRD#: 6055207
EC

Professional summary

Emily Ann Claar, who also goes by Emily Ann Hein, Emily Ann Liddeke, is a registered financial professional currently at ERNST CAPITAL SECURITIES, LLC located in Sioux Falls, South Dakota.

Emily is registered as a RR (Registered Representative) and started their career in finance in 2014. Emily has worked at 1 firm and has passed the Series 63, SIE and Series 22 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emily Ann Hein | Emily Ann Liddeke

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) - BD

Click below to view Emily Ann Claar'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

August 27, 2014 - Present

ERNST CAPITAL SECURITIES, LLC

Office #1: 101 S. Reid Street, Suite 209, Sioux Falls, SD 57103
BD
CRD#: 148904
Sioux Falls, SD

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
South Dakota
(10/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 8/27/2014
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ERNST CAPITAL SECURITIES, LLC
ERNST CAPITAL GROUP I, INC. | ERNST CAPITAL SECURITIES, LLC | ERNST CAPITAL SECURITIES, INC.

CRD#: 148904 / SEC#: , 8-68083

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

Main Address
101 S. Reid Street, Suite 209, Sioux Falls, SD 57103
Mailing Address
101 S. Reid Street, Suite 209, Sioux Falls, SD 57103
Phone number
(605) 271-7172
Established
South Dakota since 01/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ERNST CAPITAL HOLDINGS, LLCDIRECT OWNER
DAUGAARD, CHRISTOPHER JAMESCHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, AND MEMBER6301526
GATES, NICHOLAS ALANFINANCIAL AND OPERATIONS PRINCIPAL, CHIEF FINANCIAL OFFICER, AND MEMBER6187910

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

ERNST CAPITAL SECURITIES, LLC

CRD#: 148904Sioux Falls, SD 57103

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