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Ernst & Young Investment Advisers LLP

New York, NY

New York, NY

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Current Employers
Ernst & Young Investment Advisers Llp

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-05-13
  • NY RA
    APPROVED
    Since 2026-05-13

Branch Locations

New York, NY • United States

1 Manhattan West 395 9Th Avenue, New York, NY 10001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Color Marble Alhambra CA 01/2011 12/2024
Ubs Financial Services, Inc Weehawken NJ 04/2025 03/2026
Unemployed New York NY 01/2025 03/2025
Tapfin/Ey New York NY 05/2026 Present
  • 01/2011 → 12/2024
    Color Marble
    Alhambra, CA
  • 04/2025 → 03/2026
    Ubs Financial Services, Inc
    Weehawken, NJ
  • 01/2025 → 03/2025
    Unemployed
    New York, NY
  • 05/2026 → Present
    Tapfin/Ey
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-27
S63 Uniform Securities Agent State Law Examination 2010-05-14
  • S66 Uniform Combined State Law Examination
    2025-02-27
  • S63 Uniform Securities Agent State Law Examination
    2010-05-14

View on SEC IAPD

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