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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
NC RA APPROVED 2021-12-16
  • NC RA
    APPROVED
    Since 2021-12-16

Branch Locations

Charlotte, NC • United States

100 N Tryon Street # 3800, Charlotte, NC 28202 • 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
Vidon Capital Partners Chatham NJ 10/2015 12/2016
Keller Williams Woodcliff Lake NJ 05/2017 01/2018
Unemployed Hackensack NJ 02/2018 04/2018
Axa Advisors, Llc New York NY 05/2018 08/2018
Unemployed Hackensack NJ 01/2017 04/2017
Prudential Advisors Basking Ridge NJ 09/2018 12/2020
Tapfin/Ey Secaucus NJ 12/2020 11/2021
Residential Rental Property Davidson NC 10/2019 Present
Ernst & Young Llp Charlotte NC 10/2021 Present
  • 10/2015 → 12/2016
    Vidon Capital Partners
    Chatham, NJ
  • 05/2017 → 01/2018
    Keller Williams
    Woodcliff Lake, NJ
  • 02/2018 → 04/2018
    Unemployed
    Hackensack, NJ
  • 05/2018 → 08/2018
    Axa Advisors, Llc
    New York, NY
  • 01/2017 → 04/2017
    Unemployed
    Hackensack, NJ
  • 09/2018 → 12/2020
    Prudential Advisors
    Basking Ridge, NJ
  • 12/2020 → 11/2021
    Tapfin/Ey
    Secaucus, NJ
  • 10/2019 → Present
    Residential Rental Property
    Davidson, NC
  • 10/2021 → Present
    Ernst & Young Llp
    Charlotte, NC
Previous Registrations
Other Businesses

RESIDENTIAL RENTAL PROPERTY LOCATED AT 108 SQUARE SQUARE ROW, DAVIDSON NC. POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 108 South Square Row, Davidson NC 28036, United States DESCRIPTION: Passive activity of renting the property and arranging for basic property maintenance.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-26
S63 Uniform Securities Agent State Law Examination 2004-12-14
  • S66 Uniform Combined State Law Examination
    2018-07-26
  • S63 Uniform Securities Agent State Law Examination
    2004-12-14
Other Names
  • Robert Gartner
  • Robert James Gartner

View on SEC IAPD

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