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Courtney Siobhan Ellis

Principal Advised Services

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About Courtney Siobhan Ellis

Courtney Siobhan Ellis is a financial professional with over 9 years of experience in the financial services industry. Courtney is a registered representative with Principal Advised Services. Courtney has been actively registered with the state of Minnesota and Iowa and is a Series 6, 7, 9, 10, 63, and 66 licensed professional. Courtney has previously worked with Wells Fargo Clearing Services, LLC.

Firm Information

Courtney Ellis is currently registered with Principal Advised Services. Principal Advised Services is a registered investment advisor based in Des Moines, IA. They offer portfolio management for individuals and selection of other advisors. The firm manages $569,489,941 in regulatory assets under management, primarily for individuals other than high-net-worth individuals. They also have a wrap fee program.
Principal Advised Services

655 9TH STREET

DES MOINES, IA 50309

$569.49M

Assets Under Management

1,268

Total Clients

144

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Courtney Ellis’s Registration & Firm History

MN

05/06/2024 - Present

Principal Advised Services (Woodbury MN)

MN

08/28/2014 - 03/02/2021

WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE MN)

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Licenses & Designations

BOTH

Issued 05/06/2024

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/17/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/11/2020

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/01/2019

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/04/2016

Series 7 - General Securities Representative Examination

BC

Issued 08/28/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Courtney Siobhan Ellis.
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