ES
Ernest B. Sumner
EAGLE MERCHANT PARTNERS
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 7361250
ES
Professional summary
Ernest Brady Sumner is a registered financial advisor currently at EAGLE MERCHANT PARTNERS located in Atlanta, Georgia.
Ernest is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Ernest has worked at 1 firm and has passed the Series 65 exam.
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.
From time to time, the registrant may take senior roles in companies that EMP Management LLC or one of its affiliates invests in.
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Brady Sumner'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
June 4, 2021 - Present
EAGLE MERCHANT PARTNERS
Office #1: 3060 Peachtree Rd, Nw. Suite 970, Atlanta, GA 30305RIA
CRD#: 285104
Atlanta, GA
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".
EM
EAGLE MERCHANT PARTNERS
EAGLE MERCHANT PARTNERS | EMP MANAGEMENT LLC
CRD#: 285104 / SEC#: 801-127471
RIA
Registered Investment Advisory firm - (3/16/2023 Approved)Georgia
Registered Investment Advisory firm - (4/18/2023 Terminated)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
Georgia(6/4/2021)
Current Firm
EM
EAGLE MERCHANT PARTNERS
EAGLE MERCHANT PARTNERS | EMP MANAGEMENT LLC
CRD#: 285104 / SEC#: 801-127471
RIA
Registered Investment Advisory firm - (3/16/2023 Approved)Georgia
Registered Investment Advisory firm - (4/18/2023 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3060 Peachtree Rd, Nw. Suite 970, Atlanta, GA 30305
Mailing Address
Phone number
(404) 974-2499
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13 |
| AUM (Assets Under Management) | $ 408,722,982 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 1/7/2019 |
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.
