Philip Robert Ernst

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-07-27

NY RA
APPROVED

Since 2021-07-27

Branch Locations

1211 Ave Of The Americas 27Th Fl, New York, NY 10036 • United States

Spring Valley, NY • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	New York	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	New York	NY	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

New York, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

New York, NY

Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; NANUET, NY; 50% OWNERSHIP; START DATE=1988; 0 HRS PER MTH. RENTAL PROPERTY; INVESTMENT RELATED; SUFFERN, NY; 50% OWNERSHIP; START DATE=1988; 0 HRS PER MTH. CO-TRUSTEE FOR DAUGHTER, INV RELATED, SPRING VALLEY, NH, START: 10/3/2014, 3 HOURS PER MONTH/0 DURING TRADING.; EXECUTOR FOR FRIEND, INV RELATED, NEW YORK, NY, START: 2/1/2009, 0 HRS/MONTH, 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1980-12-29

S63 Uniform Securities Agent State Law Examination

1980-12-29

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

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Exams

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