Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claudia? Claim Your ProfileClaudia Ellis is a financial professional with over 20 years of experience in the industry. Claudia has a wide range of experience and expertise, including working with Fidelity Brokerage Services LLC, National Financial Services LLC, NYLIFE Securities LLC, TIAA-CREF Individual & Institutional Services, LLC, and The Dreyfus Service Corporation. Claudia holds a number of industry licenses, including the Series 6, 7, 9, 10, 24, 26, 63, and 65. Claudia is currently registered with Fidelity Brokerage Services LLC in the state of Texas.
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.
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.
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2
TX
08/12/2013 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
TX
05/04/2012 - 07/19/2013
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
TX
12/10/2009 - 04/24/2012
NYLIFE SECURITIES LLC (DALLAS TX)
TX
02/02/1998 - 12/17/2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (LEWISVILLE TX)
NY
12/01/1995 - 10/21/1997
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
IA
Issued 09/06/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/30/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/2005
Series 24 - General Securities Principal Examination
BC
Issued 02/25/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2005
Series 7 - General Securities Representative Examination
BC
Issued 10/17/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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