Ernest M. Mccollum
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 Monroe Mccollum, who also goes by Ernest Monroe Mccollom, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1979. Ernest had worked at 7 firms and has passed the Series 63, Series 15, 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
June 24, 2009 - April 27, 2011
NEXT FINANCIAL GROUP, INC.
October 12, 1995 - July 6, 2009
GEARY SECURITIES, INC.
August 4, 1989 - January 10, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 14, 1988 - August 4, 1989
KNIBBE FINANCIAL GROUP, INC.
December 2, 1985 - May 23, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
August 10, 1983 - November 15, 1985
CITIGROUP GLOBAL MARKETS INC.
July 17, 1979 - August 23, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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 15
Date: 5/22/1984
Foreign Currency Options ExaminationSeries 8
Date: 12/9/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
