ER
Ernest P. Rispoli
DISCIPLINE WEALTH SOLUTIONS
TAPPAN, NY
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CRD#: 7115211
ER
Professional summary
Ernest Paul Rispoli is a registered financial advisor currently at DISCIPLINE WEALTH SOLUTIONS, INC. located in Tappan, New York.
Ernest is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Ernest has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) QUINTESSENTIAL MORTGAGE GROUP, LLC; NOT INV REL; WHITE PLAINS, NY; LOAN ORIGINATOR; 04/2024; APPROX 40% OF TIME SPENT IN THIS PRACTICE. 2) INSURANCE AGENT- INVESTMENT RELATED, TAPPAN, NY, INSURANCE SALES, AGENT, 2009, DEVOTES NOT MORE THAN 30% OF AGENTS TIME DURING WORKING HRS/MO DURING TRADING HOURS; SALE OF VARIOUS INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Paul Rispoli'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®
NoneExperience
Current
October 28, 2024 - Present
DISCIPLINE WEALTH SOLUTIONS, INC.
RIA
CRD#: 315846
TAPPAN, NY
Past
September 5, 2023 - October 30, 2024
CPR INVESTMENTS INC
RIA
CRD#: 139067
TAPPAN, NY
Past
November 16, 2021 - September 6, 2023
PFS INVESTMENTS INC.
RIA
CRD#: 10111
BRIARCLIFF MANOR, NY
Past
May 23, 2019 - September 6, 2023
PFS INVESTMENTS INC.
BD
CRD#: 10111
BRIARCLIFF MANOR, NY
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".
DW
DISCIPLINE WEALTH SOLUTIONS, INC.
AR 21 INVESTMENT ADVISORY SERVICE | WISER FINANCIAL COACHING, LLC | V8 WEALTH | V8 INVESTMENT ADVISORS | THE STAHLNECKER GROUP LLC | PETRY FINANCIAL SERVICES | JOSYLN FINANCIAL SERIVICES | FOREVER YOUNG FINANCIAL | FINANCIAL WINGS, LLC | FIGTREE FINANCIAL SERVICES, LLC | DISCIPLINE WEALTH SOLUTIONS, INC. | CUCHETTI FINANCIAL PARTNERS LLC | BYRD ASSET MANAGEMENT, LLC
CRD#: 315846 / SEC#: 801-122049
RIA
Registered Investment Advisory firm - (8/10/2021 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.Highlighted states indicate IAR registrations
IAR
New York(10/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/23/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
DW
DISCIPLINE WEALTH SOLUTIONS, INC.
AR 21 INVESTMENT ADVISORY SERVICE | WISER FINANCIAL COACHING, LLC | V8 WEALTH | V8 INVESTMENT ADVISORS | THE STAHLNECKER GROUP LLC | PETRY FINANCIAL SERVICES | JOSYLN FINANCIAL SERIVICES | FOREVER YOUNG FINANCIAL | FINANCIAL WINGS, LLC | FIGTREE FINANCIAL SERVICES, LLC | DISCIPLINE WEALTH SOLUTIONS, INC. | CUCHETTI FINANCIAL PARTNERS LLC | BYRD ASSET MANAGEMENT, LLC
CRD#: 315846 / SEC#: 801-122049
RIA
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Contact information
Main Address
15 Halton Green Way, Greenville, SC 29607
Mailing Address
Phone number
(864) 322-6046
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,750 |
| AUM (Assets Under Management) | $ 316,318,696 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
