Ernest G. Settle
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 Gary Settle was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1977. Ernest had worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2016 - December 4, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 8, 2016 - December 4, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 28, 2003 - February 9, 2016
RAYMOND JAMES & ASSOCIATES, INC.
January 15, 1990 - February 9, 2016
RAYMOND JAMES & ASSOCIATES, INC.
April 26, 1984 - January 27, 1990
MORGAN STANLEY DW INC.
September 1, 1977 - May 4, 1984
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/6/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
