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James Ernst

Raymond James Financial Services Advisors, INC
26 Years of Experience
Palm Beach Gardens, FL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Ernst is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Palm Beach Gardens, FL, with 26 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

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

Location

3601 Pga Blvd, Suite 301, Palm Beach Gardens, FL, 33410

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History

Regulatory History (2)
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
May 2013
Denied
Customer Dispute
June 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is an independent contractor providing investment advice for Ernst Capital LLC and financial advice for Houchin Ernst Wealth Advisors, dedicating about 10-20% of his time to each. He also works as an agent for life insurance policies through Financial Strategies Group, LLP, spending a few hours per week.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
June 2017 - Present · 9 yrs 4 mos
Raymond James Financial Services, INC.Broker
June 2017 - Present · 9 yrs 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
July 2008 - June 2017 · 8 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
July 2008 - June 2017 · 8 yrs 11 mos
Banc of America Investment Services, INC.
October 2003 - July 2008 · 4 yrs 9 mos
Banc of America Investment Services, INC.Broker
November 2001 - July 2008 · 6 yrs 8 mos
Fsc Securities CorporationBroker
January 2001 - July 2001 · 6 mos
Auerbach, Pollak & Richardson INC.Broker
December 2000 - January 2001 · 1 mo
American Fronteer Financial CorporationBroker
August 2000 - December 2000 · 4 mos
First Investors CorporationBroker
January 2000 - July 2000 · 6 mos
State Registrations43 states
ALARAZCACOCTDCDEFLGAHIILINKYLAMAMDMEMIMNMOMSNCNENHNJNVNYOHOKORPARISCTNTXUTVAVTWAWIWVWY
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.
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