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Type: Dual Registration

Ernst Leidner is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. Ernst has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Ernst Chad Leidner has not answered any questions on Financial Q&A.

Top Guides

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Firm Client Types

High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Bank of America,Na 4 years, 4 months Dec 2009 - Present
Merrill Lynch 4 years, 8 months Aug 2009 - Present
Morgan Stanley Smith Banrey Venture Services LLC 2 months Jun 2009 - Aug 2009
Morgan Stanley & Co., Incorporated 2 years, 2 months Apr 2007 - Jun 2009
Dean Witter Reynolds Inc. 9 years, 7 months Sep 1997 - Apr 2007
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 02/25/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 05/06/2003
Uniform Securities Agent State Law Examination Series 63 12/23/1997
General Securities Representative Examination Series 7 11/25/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions