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Ernst & Young Investment Advisers LLP CRD 110921
30 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-06-10 |
Branch Locations
101 E. Washington St Suite 9210, Phoenix, AZ 85004 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank Na | Malibu | CA | 07/2018 | 09/2019 |
| United Surgical Partners | Westlake Village | CA | 05/2016 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Encino | CA | 09/2019 | 07/2021 |
| Jpmorgan Securities Llc | Tempe | AZ | 08/2021 | 03/2023 |
| First Citizens Investor Services | Tempe | AZ | 07/2023 | 03/2024 |
| Unemployed | Tempe | AZ | 03/2024 | 04/2024 |
| Lpl Financial | Tempe | AZ | 04/2024 | 05/2024 |
| Unemployed | Thousand Oaks | CA | 04/2016 | 07/2018 |
| Unemployed | Tempe | AZ | 03/2023 | 06/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 07/2024 | 01/2026 |
| Moorpark College | Moorpark | CA | 09/2017 | 07/2021 |
| Tapfin/Ernst & Young Investment Advisers Llp | Phoeniz | AZ | 05/2026 | Present |
| Unemployed | Phoenix | AZ | 01/2026 | 04/2026 |
| Paycheck | Phoenix | AZ | 04/2026 | 05/2026 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 2018-11-02 |
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