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Ernest James Rowe

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Other Names: Jamie Rowe
Additional Firm:
Type: SEC and FINRA Registered

Ernest Rowe is a financial professional at Securities America, Inc., a broker-dealer with over 2,600 registered representatives nationwide. Ernest is also registered with Securities America Advisors, Inc., a $13B RIA based in La Vista, NE. Ernest has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Securities America Advisors 1 month, 3 weeks Oct 2015 - Present
Securities America Inc 1 month, 3 weeks Oct 2015 - Present
Intervest International Equities Corporation 6 years, 3 months Jul 2009 - Oct 2015
Dynamic Financial 8 years, 11 months Jan 2007 - Present
Sunset Financial Services, Inc. 13 years, 5 months Aug 1995 - Jan 2009
Kansas City Life Ins Co 32 years, 6 months Nov 1976 - May 2009
Rowe Agency 30 years, 2 months Nov 1976 - Jan 2007
ExamSeriesPassed Date
Investment Company Products/Variable Contracts Principal ExaminationSeries 26 03/15/2004
Uniform Securities Agent State Law ExaminationSeries 63 02/02/1996
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 12/28/1993

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

Ernest James Rowe has not answered any questions on Financial Q&A.

Top Articles

Ernest James Rowe has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

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

Licenses and Conduct

License Status

1 Customer Dispute

1 Termination

1 Customer Dispute

1 Termination

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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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