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Detailed Report
CLAYTON HOLT ERNST
CLAY ERNST
CRD#: 2535760
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 8610 EXPLORER DRIVE
SUITE 120
COLORADO SPRINGS, CO 80920
Registration History
19952000200520102015202020252 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2007 (2 years)2 FIRMS2007 - 2007 (<1 year)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2018 - Present (6 years)BEF LEGACY SECURITIES, LLC (CRD# 269923)2016 - 2018 (2 years)BSANDERS MORRIS HARRIS LLC (CRD# 20580)2013 - 2016 (3 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)2000 - 2003 (2 years)BJ.P. MORGAN SECURITIES INC. (CRD# 15733)1994 - 2000 (5 years)IAEDELMAN FINANCIAL SERVICES, LLC (CRD# 113299)2013 - 2018 (5 years)IABINGHAM, OSBORN & SCARBOROUGH LLC (CRD# 110496)2007 - 2013 (5 years)IADONALDSON LUFKIN & JENRETTE SE... (CRD# 7560)2002 - 2003 (<1 year)
License(s)

State Registrations

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Colorado 12/13/2019
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Texas 11/1/2018
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
8610 EXPLORER DRIVE SUITE 120, COLORADO SPRINGS, CO 80920
Registered with this firm since 11/1/2018
Previous Registration(s)
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 01/08/2013 - 11/01/2018 EDELMAN FINANCIAL SERVICES, LLC (CRD#:113299) SANTA CLARA, CA
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 04/22/2016 - 10/31/2018 EF LEGACY SECURITIES, LLC (CRD#:269923) SANTA CLARA, CA
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 01/07/2013 - 04/22/2016 SANDERS MORRIS HARRIS LLC (CRD#:20580) SANTA CLARA, CA
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 08/13/2007 - 01/08/2013 BINGHAM, OSBORN & SCARBOROUGH LLC (CRD#:110496) SAN FRANCISCO, CA
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 05/29/2007 - 07/03/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
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 05/29/2007 - 07/03/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
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 06/09/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN FRANCISCO, CA
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 06/09/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN FRANCISCO, CA
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 01/17/2003 - 05/26/2004 CREDIT SUISSE FIRST BOSTON (CRD#:816) SAN FRANCISCO, CA
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 01/17/2003 - 05/26/2004 CREDIT SUISSE FIRST BOSTON LLC (CRD#:816) NEW YORK, NY
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 08/08/2002 - 01/17/2003 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) SAN FRANCISCO, CA
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 02/29/2000 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
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 12/07/1994 - 02/17/2000 J.P. MORGAN SECURITIES INC. (CRD#:15733) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.