Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen e.? Claim Your ProfileEllen Elizabeth Rankin is a financial advisor with UBS Financial Services Inc. Ellen has been in the securities industry for over 17 years and has a Series 63, Series 66, Series 7, Series 3, Series 24 and SIE license. Ellen has been registered with the Securities and Exchange Commission (SEC) since 2012. Ellen has prior experience with Credit Suisse Securities (USA) LLC. Ellen Elizabeth Rankin has experience working with individual clients, high net worth individuals, corporations and other businesses, pension and profit sharing plans, state or municipal government entities, charitable organizations, insurance companies and other. Ellen is based in Charlotte, NC and is registered in several states.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NC
10/30/2012 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NY
09/21/2005 - 08/21/2012
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BOTH
Issued 09/07/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/27/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/26/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2005
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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