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Clayton Holt Ernst

Edelman Financial Engines

Colorado Springs, CO

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2019-12-13
TX RA APPROVED 2018-11-01
  • CO RA
    APPROVED
    Since 2019-12-13
  • TX RA
    APPROVED
    Since 2018-11-01

Branch Locations

8610 Explorer Drive Suite 120, Colorado Springs, CO 80920 • 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
Edelman Financial Services Llc Fairfax VA 01/2013 11/2018
Ef Legacy Securities, Llc Henrico VA 04/2016 10/2018
Financial Engines Advisors L.L.C. Sunnyvale CA 11/2018 Present
  • 01/2013 → 11/2018
    Edelman Financial Services Llc
    Fairfax, VA
  • 04/2016 → 10/2018
    Ef Legacy Securities, Llc
    Henrico, VA
  • 11/2018 → Present
    Financial Engines Advisors L.L.C.
    Sunnyvale, CA
Previous Registrations
  • 2013-01-08 → 2018-11-01
    Edelman Financial Services, Llc
    Mountain View, CA
    Fairfax, VA
    Santa Clara, CA
    Huntington Beach, CA
    Costa Mesa, CA
    Santa Clara, CA
  • 2007-08-13 → 2013-01-08
    B|O|S
    San Francisco, CA
  • 2007-05-29 → 2007-07-03
    Citigroup Global Markets Inc.
    San Francisco, CA
  • 2004-06-09 → 2007-05-29
    Citicorp Investment Services
    San Francisco, CA
    San Francisco, CA
  • 2003-01-17 → 2004-05-26
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
  • 2002-08-08 → 2003-01-17
    Pershing Llc
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-02-05
S66 Uniform Combined State Law Examination 2001-11-21
  • S63 Uniform Securities Agent State Law Examination
    2013-02-05
  • S66 Uniform Combined State Law Examination
    2001-11-21
Designations
Other Names
  • Clay Ernst

View on SEC IAPD

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Other Investors

KARLA ROSS
TROY CARLSON
JUSTIN BACKSTROM
JANICA JOLI GILLETTE-BACKSTROM
GARY BACKSTROM
Nicholas Dorsett
Patrick Thomas Healy
Christopher Robert Dorsett

Other Offices

LPL FINANCIAL LLC · COLORADO SPRINGS, CO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COLORADO SPRINGS, CO
SEAMOUNT FINANCIAL GROUP INC · COLORADO SPRINGS, CO
UBS FINANCIAL SERVICES INC. · COLORADO SPRINGS, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLORADO SPRINGS, CO
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · COLORADO SPGS, CO
BENJAMIN F. EDWARDS & COMPANY, INC. · Colorado Springs, CO
OSAIC WEALTH, INC. · COLORADO SPRINGS, CO

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