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KH

Kody L. Henning

ERNST CAPITAL SECURITIES
Sioux Falls, SD 57103
Some features on this profile are disabled
CRD#: 7514027
KH

Professional summary

Kody Lee Henning is a registered financial professional currently at ERNST CAPITAL SECURITIES, LLC located in Sioux Falls, South Dakota.

Kody is registered as a RR (Registered Representative) and started their career in finance in 2022. Kody has worked at 1 firm and has passed the SIE and Series 22TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kody Lee Henning's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 20, 2022 - Present

ERNST CAPITAL SECURITIES, LLC

Office #1: 101 S. Reid Street, Suite 209, Sioux Falls, SD 57103
BD
CRD#: 148904
Sioux Falls, SD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 5/20/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22TO
Date: 4/15/2022
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ERNST CAPITAL SECURITIES, LLC
ERNST CAPITAL GROUP I, INC. | ERNST CAPITAL SECURITIES, LLC | ERNST CAPITAL SECURITIES, INC.

CRD#: 148904 / SEC#: , 8-68083

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
101 S. Reid Street, Suite 209, Sioux Falls, SD 57103
Mailing Address
101 S. Reid Street, Suite 209, Sioux Falls, SD 57103
Phone number
(605) 271-7172
Established
South Dakota since 01/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ERNST CAPITAL HOLDINGS, LLCDIRECT OWNER
DAUGAARD, CHRISTOPHER JAMESCHIEF EXECUTIVE OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, AND MEMBER6301526
GATES, NICHOLAS ALANFINANCIAL AND OPERATIONS PRINCIPAL, CHIEF FINANCIAL OFFICER, AND MEMBER6187910

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.

Company Information

ERNST CAPITAL SECURITIES, LLC

CRD#: 148904Sioux Falls, SD 57103

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