Ernest Leroy Dahlen Iii
Professional Summary
Ernest Leroy Dahlen III, who also goes by Duke Dahlen III, Duke Dahlen, Ernest Leroy Dahlen, was a registered financial advisor. Ernest was a previously registered financial professional and started their career in finance 1980 - 2006. Ernest had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Duke Dahlen Iii, Duke Dahlen, Ernest Leroy Dahlen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
QUANTUM ACQUISITION CORPORATION, INC. | REGIS SECURITIES CORPORATION | QUANTUM SECURITIES CORPORATION
Contact Information
Established
Ohio since 04/13/1999Firm Type
CorporationFiscal Year End
JuneDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARGIN, ROBERT KENNETH | PRESIDENT, CEO, CROP | 1825995 |
| VARGO, NANCY ARNETT | CFO, CCO | — |
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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