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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen? Claim Your ProfileEllen Jean Wu is a financial advisor with over 30 years of experience in the industry. Ellen is currently registered with UBS Financial Services Inc. and has offices in New York and Fair Lawn, NJ. Ellen has been registered as a broker-dealer and investment advisor representative with both FINRA and the Securities and Exchange Commission. Ellen has passed both the Series 63 and 66 exams. Ellen also holds the Series 4 (Registered Options Principal Examination) and the SIE and Series 7 licenses. She is licensed and 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
NY
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
05/18/1990 - 02/24/2009
GLEN RAUCH SECURITIES, INC. (NEW YORK NY)
NY
08/23/1988 - 05/10/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 11/22/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/07/1995
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
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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