Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen? Claim Your ProfileEllen Baber is a financial advisor currently affiliated with Wells Fargo Clearing Services, LLC. Ellen has been in the financial services industry since 1990. Ellen has a Series 3, 7 and 66 license. Ellen is registered in 33 states including Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Maine, Maryland, Massachusetts, Michigan, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington and Wisconsin. Ellen has a strong track record of providing investment advice to individuals, families, and businesses.
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.
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.
Investment consulting services to institutional clients
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.
1
2
NJ
12/01/2014 - Present
Wells Fargo Clearing Services, LLC (PRINCETON NJ)
NY
11/10/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/12/1999 - 12/08/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/16/1993 - 02/15/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/27/1986 - 11/13/1990
LEHMAN BROTHERS INC.
NA
06/22/1983 - 09/26/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 03/30/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/1999
Series 7 - General Securities Representative Examination
BC
Issued 02/24/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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