TrueAdvisor
TrueAdvisor
ES
ES

Ernest Stanley

Janney Montgomery Scott LLC
42 Years of Experience
Columbia, SC
1 DisclosureBroker
View SEC Summary
View SEC Summary

Ernest Stanley is a registered investment advisor at Janney Montgomery Scott LLC, based in Columbia, SC, with 42 years of industry experience. Ernest is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1336 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1441 Main Street, Suite 700, Columbia, SC, 29201

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2015
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ernest serves as Secretary/Treasurer of the Caroliniann Ball, an annual dinner dance. This activity is not investment-related.

Employment History
Current Registrations
Janney Montgomery Scott LLC
September 2012 - Present · 14 yrs 1 mo
Janney Montgomery Scott LLCBroker
September 2012 - Present · 14 yrs 1 mo
Previous Registrations
Morgan StanleyBroker
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
March 1992 - April 2007 · 15 yrs 1 mo
Morgan Stanley Dw INC.Broker
December 1991 - April 2007 · 15 yrs 4 mos
F & G Securities, INC.Broker
November 1991 - December 1991 · 1 mo
Prudential-Bache Securities INC.Broker
May 1989 - November 1990 · 1 yr 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
March 1986 - June 1989 · 3 yrs 3 mos
Gibbes, Poston & CO., INC.Broker
August 1983 - July 1986 · 2 yrs 11 mos
State Registrations25 states
ARCACODCFLGAINKSLAMDMNMONCNJNVNYOHOKORPASCTXVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Columbia, SC →All financial advisors in South Carolina →