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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Ellis is a financial advisor who has been working in the industry since August 1999. Catherine is registered with Ameriprise Financial Services, LLC, and has a branch office in Danvers, MA. Catherine has been with Ameriprise since March 2020. Previously, Catherine was registered with Princor Financial Services Corporation, Fidelity Brokerage Services LLC, Fidelity Investments Institutional Services Company, Inc., and Prudential Securities Incorporated. Catherine is licensed to provide investment advice in Florida, Maine, Maryland, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, North Carolina and Wisconsin. Catherine is also licensed to provide investment advice in Minnesota. Catherine holds Series 7, 63, 65, and 66 securities licenses and a SIE designation. Catherine specializes in providing financial advice to individuals, families, businesses, trusts, estates, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. Catherine is a licensed investment adviser representative with Ameriprise Financial Services, LLC. Ameriprise Financial Services, LLC is a registered investment advisor with the Securities and Exchange Commission (SEC) and is registered as a broker-dealer with the Financial Industry Regulatory Authority (FINRA).
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MA
01/16/2018 - Present
Ameriprise Financial Services, LLC (DANVERS MA)
MA
10/08/2010 - 12/07/2011
PRINCOR FINANCIAL SERVICES CORPORATION (WALTHAM MA)
MA
01/01/2008 - 10/07/2008
FIDELITY BROKERAGE SERVICES LLC (MARLBOROUGH MA)
MA
05/19/2003 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MARLBOROUGH MA)
RI
06/15/1992 - 09/19/2001
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
NY
08/09/1991 - 03/26/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 06/16/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/19/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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