Unclaimed Profile

Nicholas Alan Gates

ERNST CAPITAL ADVISORS LLC·SIOUX FALLS, South Dakota

SIE, Series 7, Series 24, Series 27, Series 66, Series 99TOClean record12 years registeredERNST CAPITAL ADVISORS LLC

101 S REID STREET, SIOUX FALLS, SD 57103CRD# 6187910Firm CRD# 159082

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Nicholas Alan Gates · SIOUX FALLS, SD

Registration

CRD #6187910 · ERNST CAPITAL ADVISORS LLC · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ERNST CAPITAL ADVISORS LLC

ERNST CAPITAL ADVISORS LLC

Apr 2014 – Nov 2018

SIOUX FALLS, SD

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 27

Series 66

Series 99TO

Registration record

First registered · April 21, 2014

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ERNST CAPITAL ADVISORS LLC

CRD 159082 · SEC 801-96280

AUM

$1M

Regulatory assets under management

Employees

4 client accounts

Services offered by ERNST CAPITAL ADVISORS LLC

Per Form ADV

Portfolio management (individuals)

Pension consulting

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at ERNST CAPITAL ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Nicholas Alan Gates offer?

Nicholas Alan Gates specializes in Investment Management, Retirement Planning, Fee-Only Advisory.

What are Nicholas Alan Gates's credentials?

Nicholas Alan Gates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Nicholas Alan Gates located?

Nicholas Alan Gates is based in SIOUX FALLS, South Dakota, last registered with ERNST CAPITAL ADVISORS LLC.

How does Nicholas Alan Gates charge for services?

Nicholas Alan Gates's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ERNST CAPITAL ADVISORS LLC?

ERNST CAPITAL ADVISORS LLC has approximately 3 employees and manages $1M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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