Ernest J. Tall
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 Jay Tall, who also goes by Ernie Tall, 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 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2017 - December 31, 2021
CAPE INVESTMENT ADVISORY, INC.
January 3, 2017 - December 31, 2021
CAPE SECURITIES INC.
January 12, 2009 - December 31, 2016
AMERITAS INVESTMENT COMPANY, LLC
December 5, 2008 - December 31, 2016
AMERITAS INVESTMENT COMPANY, LLC
June 19, 2007 - November 6, 2008
FIRST HORIZON ADVISORS, INC.
June 13, 2007 - November 6, 2008
FIRST HORIZON ADVISORS, INC.
March 13, 2006 - June 5, 2007
WOODBURY FINANCIAL SERVICES, INC.
January 18, 1996 - June 5, 2007
WOODBURY FINANCIAL SERVICES, INC.
March 12, 1992 - December 21, 1995
1717 CAPITAL MANAGEMENT COMPANY
October 31, 1989 - March 13, 1992
G. R. PHELPS & CO., INC.
February 5, 1988 - November 23, 1988
CARILLON INVESTMENTS, INC.
February 22, 1985 - September 4, 1987
MML INVESTORS SERVICES, LLC
October 28, 1977 - January 4, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 28, 1977 - January 4, 1984
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 10/22/1977
Registered Representative ExaminationCurrent Firm
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 402,413,992 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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