Kathryn S. Ernst
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathryn Stanley Ernst, who also goes by Kathryn Joann Ernst, Kathryn S Ernst, Kathryn Joann Stanley, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1980. Kathryn had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2014 - September 11, 2015
AON SECURITIES LLC
July 14, 2011 - April 1, 2014
FIRST ALLIED SECURITIES, INC.
May 31, 2007 - January 13, 2010
FIRST ALLIED SECURITIES, INC.
February 6, 2002 - May 31, 2007
CLARK SECURITIES, INC.
August 19, 1993 - May 24, 2000
MUTUAL SERVICE CORPORATION
January 11, 1990 - June 4, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 11, 1990 - June 4, 1993
EQUITABLE ADVISORS, LLC
August 18, 1986 - January 1, 1990
COLLIERS SECURITIES LLC
July 1, 1982 - August 21, 1986
CRAIG-HALLUM, INC.
March 26, 1980 - July 6, 1982
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
Primary Firm SEC Registration
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AON GROUP, INC. | SHAREHOLDER | |
| AS HOLDINGS, INC. | SHAREHOLDER | |
| CHAMBLEY, JEFFREY TODD | DIRECTOR | 3129456 |
| DELANEY, WILLIAM LEO JR | DIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001) | 1997937 |
| EHRHART, BRYON GERARD | DIRECTOR (05/2002) | 2932770 |
| MACKUNIS, KENNETH JAMES | DIRECTOR | 2612504 |
| MONAGHAN, KATHLEEN NICOLE | DIRECTOR | 6833059 |
| MORRIS, GREGORY PAUL | CHIEF COMPLIANCE OFFICER | 1317320 |
| PASALICH, MAGDALINE GARRIS | DIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 7143931 |
| PENNAY, RICHARD ERIK CHARLES | CEO (10/2024), DIRECTOR | 5475857 |
| WARD, BRYAN RICHARD | DIRECTOR | 3107835 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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