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EP

Ernest Palmer

Some features on this profile are disabled
CRD#: 837902
EP

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.

Ernest Palmer III, who also goes by Ernest Palmer, Ernie Palmer III, was a registered financial professional .

Ernest is a previously registered financial professional and started their career in finance in 1977. Ernest had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ernest Palmer | Ernie Palmer Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 3, 2015 - November 4, 2019

D.H. HILL ADVISORS, INC.

RIA
CRD#: 116324
KINGWOOD, TX
Past

December 1, 2015 - November 4, 2019

D.H. HILL SECURITIES, LLLP

BD
CRD#: 41528
KINGWOOD, TX
Past

September 23, 2010 - December 3, 2015

MONTICELLO INVESTMENT SERVICES, INC.

RIA
CRD#: 140851
NORTHFIELD, IL
Past

September 8, 2010 - December 4, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
NORTHFIELD, IL
Past

September 4, 2009 - September 9, 2010

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
NORTHFIELD, IL
Past

August 28, 2009 - September 9, 2010

FSC SECURITIES CORPORATION

BD
CRD#: 7461
NORTHFIELD, IL
Past

March 10, 2009 - August 26, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA
CRD#: 10078
NORTHFIELD, IL
Past

July 21, 2003 - August 26, 2009

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
NORTHFIELD, IL
Past

December 4, 2001 - September 3, 2003

RE-DIRECT SECURITIES CORP

RIA
CRD#: 35518
NORTHFIELD, IL
Past

August 22, 2000 - July 21, 2003

RE-DIRECT SECURITIES CORP

BD
CRD#: 35518
VILLA PARK, IL
Past

May 3, 1999 - August 16, 2000

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

October 26, 1994 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

May 26, 1977 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
NEW YORK, NY
Past

May 26, 1977 - November 3, 1994

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, 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".
DH
D.H. HILL ADVISORS, INC.
D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT

CRD#: 116324 / SEC#: 801-115203

RIA
Registered Investment Advisory firm - (5/2/2019 Approved)
Arizona
Registered Investment Advisory firm - (5/20/2019 Terminated)
California
Registered Investment Advisory firm - (6/19/2019 Terminated)
Colorado
Registered Investment Advisory firm - (5/29/2019 Terminated)
Delaware
Registered Investment Advisory firm - (5/21/2019 Terminated)
Florida
Registered Investment Advisory firm - (5/20/2019 Terminated)
Georgia
Registered Investment Advisory firm - (5/31/2019 Terminated)
Illinois
Registered Investment Advisory firm - (5/2/2019 Terminated)
Iowa
Registered Investment Advisory firm - (5/21/2019 Terminated)
Kansas
Registered Investment Advisory firm - (5/20/2019 Terminated)
Kentucky
Registered Investment Advisory firm - (11/14/2011 Terminated)
Louisiana
Registered Investment Advisory firm - (5/20/2019 Terminated)
Massachusetts
Registered Investment Advisory firm - (5/20/2019 Terminated)
Michigan
Registered Investment Advisory firm - (5/20/2019 Terminated)
Missouri
Registered Investment Advisory firm - (5/20/2019 Terminated)
Nebraska
Registered Investment Advisory firm - (5/28/2019 Terminated)
New Mexico
Registered Investment Advisory firm - (5/20/2019 Terminated)
New York
Registered Investment Advisory firm - (5/20/2019 Terminated)
North Carolina
Registered Investment Advisory firm - (6/6/2019 Terminated)
Ohio
Registered Investment Advisory firm - (5/21/2019 Terminated)
Oklahoma
Registered Investment Advisory firm - (5/20/2019 Terminated)
Rhode Island
Registered Investment Advisory firm - (5/20/2019 Terminated)
South Carolina
Registered Investment Advisory firm - (5/20/2019 Terminated)
Tennessee
Registered Investment Advisory firm - (5/22/2019 Terminated)
Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)
Virginia
Registered Investment Advisory firm - (5/22/2019 Terminated)
Washington
Registered Investment Advisory firm - (5/27/2019 Terminated)

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

State Security Law Exam
RR
IAR
Series 66
Date: 11/26/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/12/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/30/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 5/20/1977
Registered Representative Examination

Current Firm

DH
D.H. HILL ADVISORS, INC.
D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT

CRD#: 116324 / SEC#: 801-115203

RIA
Registered Investment Advisory firm - (5/2/2019 Approved)
Arizona
Registered Investment Advisory firm - (5/20/2019 Terminated)
California
Registered Investment Advisory firm - (6/19/2019 Terminated)
Colorado
Registered Investment Advisory firm - (5/29/2019 Terminated)
Delaware
Registered Investment Advisory firm - (5/21/2019 Terminated)
Florida
Registered Investment Advisory firm - (5/20/2019 Terminated)
Georgia
Registered Investment Advisory firm - (5/31/2019 Terminated)
Illinois
Registered Investment Advisory firm - (5/2/2019 Terminated)
Iowa
Registered Investment Advisory firm - (5/21/2019 Terminated)
Kansas
Registered Investment Advisory firm - (5/20/2019 Terminated)
Kentucky
Registered Investment Advisory firm - (11/14/2011 Terminated)
Louisiana
Registered Investment Advisory firm - (5/20/2019 Terminated)
Massachusetts
Registered Investment Advisory firm - (5/20/2019 Terminated)
Michigan
Registered Investment Advisory firm - (5/20/2019 Terminated)
Missouri
Registered Investment Advisory firm - (5/20/2019 Terminated)
Nebraska
Registered Investment Advisory firm - (5/28/2019 Terminated)
New Mexico
Registered Investment Advisory firm - (5/20/2019 Terminated)
New York
Registered Investment Advisory firm - (5/20/2019 Terminated)
North Carolina
Registered Investment Advisory firm - (6/6/2019 Terminated)
Ohio
Registered Investment Advisory firm - (5/21/2019 Terminated)
Oklahoma
Registered Investment Advisory firm - (5/20/2019 Terminated)
Rhode Island
Registered Investment Advisory firm - (5/20/2019 Terminated)
South Carolina
Registered Investment Advisory firm - (5/20/2019 Terminated)
Tennessee
Registered Investment Advisory firm - (5/22/2019 Terminated)
Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)
Virginia
Registered Investment Advisory firm - (5/22/2019 Terminated)
Washington
Registered Investment Advisory firm - (5/27/2019 Terminated)
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Contact information

Main Address
1543 Green Oak Place Suite 100, Kingwood, TX 77339
Mailing Address
1543 Green Oak Place Suite 100, Kingwood, TX 77339
Phone number
(832) 644-1852
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (27 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A: APPENDIX 1- D.H. HILL ADVISORS INC, WRAP BROCHURE (3/27/2025)
FORM ADV 2A: D.H. HILL ADVISORS, INC. DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts953
AUM (Assets Under Management)$ 196,852,282

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

D.H. HILL ADVISORS, INC.

CRD#: 116324

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