Ernest Arnold (CRD# 1754119) is an Investment Advisor Representative working at Western International Securities in Pasadena, CA and has over 28 years of experience in the finance industry.
CRD# 2962660
Grove Point Advisors, LLC
CRD# 5781614
Awm Capital, LLC
CRD# 6406556
Aqua Capital Advisors
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Western International Securities, Inc. | Pasadena, CA | Jul 2021 - Current | 2 |
| Rjj Pasadena Securities, Inc. | South Pasadena, CA | Feb 2019 - Jun 2021 | 2 |
| B.b. Graham & Company, Inc. | Orange, CA | Jul 2007 - Feb 2019 | 11 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jan 1996 |
| S65 | NASAA Investment Advisors Law Examination | Apr 2010 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management3,687MILLIONS
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Total Number of Accounts12,197ACCOUNTS
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Average Account Value$302,322
- A percentage of assets under your management
- Hourly charges
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- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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