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German Mora

Ernst & Young Investment Advisers LLP
17 Years of Experience
Orlando, FL
3 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

German Mora is a registered investment advisor at Ernst & Young Investment Advisers LLP, based in Orlando, FL, with 17 years of industry experience. German operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Retirement Planning, Tax Planning. Their firm serves 20 clients.

Ernst & Young Investment Advisers LLP
Compensation
Fixed/Hourly
Firm Size
115 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

200 S Orange Ave #2800, Orlando, FL, 32801

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History

Regulatory History (3)
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.
Regulatory
September 2022
Final
Employment Separation After Allegations
January 2017
Employment Separation After Allegations
November 2016
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

German owns 100% of GM Financial & Trust, LLC, an investment management firm, dedicating about 10-20% of his time. He also sells insurance through Robert A Brandon Inc., spending minimal time on this activity.

Employment History
Current Registrations
Ernst & Young Investment Advisers LLP
October 2023 - Present · 3 yrs
Gagni Wealth Management LLC
November 2021 - Present · 4 yrs 11 mos
Previous Registrations
Sb Advisory, LLC
May 2021 - December 2021 · 7 mos
San Blas Securities LLCBroker
May 2021 - December 2021 · 7 mos
Intercam Advisors, INC.
July 2019 - March 2021 · 1 yr 8 mos
Intercam Securities, INC.Broker
June 2019 - March 2021 · 1 yr 9 mos
Mora Wm SecuritiesBroker
August 2017 - June 2019 · 1 yr 10 mos
Mora Wealth Management LLC
August 2017 - June 2019 · 1 yr 10 mos
Gagni Asset Management LLC
March 2017 - March 2017 · 0 mos
Wells Fargo Clearing Services, LLCBroker
November 2016 - February 2017 · 3 mos
Wells Fargo Clearing Services, LLC
November 2016 - February 2017 · 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2015 - December 2016 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2015 - December 2016 · 1 yr 11 mos
Bbva Securities INC.Broker
May 2013 - November 2014 · 1 yr 6 mos
Bbva Wealth Solutions INC.
July 2011 - November 2014 · 3 yrs 4 mos
Bbva Compass Investment Solutions, INCBroker
June 2011 - May 2013 · 1 yr 11 mos
Cp Capital Securities, INC.
September 2007 - September 2009 · 2 yrs
Cp Capital SecuritiesBroker
September 2007 - September 2009 · 2 yrs
UBS Financial Services INC.
August 2006 - May 2007 · 9 mos
UBS Financial Services INC.Broker
July 2006 - May 2007 · 10 mos
State Registrations2 states
FLTX
Advisor

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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