Ernest Collins
Professional summary
Ernest Collins, who also goes by Ernest Clint Collins, Ernest Collins, Ernie Collins, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Livermore, California and CETERA INVESTMENT SERVICES LLC located in Livermore, California.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Ernest has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Collins's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2100 Las Positas Court, Livermore, CA 94551March 27, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2100 Las Positas Court, Livermore, CA 94551November 12, 2019 - March 29, 2023
CITIGROUP GLOBAL MARKETS INC.
November 12, 2019 - March 29, 2023
CITIGROUP GLOBAL MARKETS INC.
October 10, 2016 - October 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2016 - October 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2014 - December 10, 2015
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/27/2023)
(3/27/2023)
(3/27/2023)
(3/27/2023)
(5/3/2023)
(5/3/2023)
(5/3/2023)
(5/3/2023)
(3/27/2023)
(3/27/2023)
(3/27/2023)
(4/14/2023)
(3/27/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Livermore, CA 94551TRUST BUT VERIFY
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