Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen? Claim Your ProfileEllen Finkelstein is a financial advisor at Raymond James & Associates, Inc., located in Macon, GA. Ellen has been in the financial industry since February 26, 1991. Prior to joining Raymond James, Ellen was a financial advisor at WELLS FARGO CLEARING SERVICES, LLC, and WELLS FARGO ADVISORS, LLC. Ellen is licensed to sell securities in the state of Georgia. Ellen holds Series 63, Series 10, Series 9, SIE, and Series 7 licenses. Ellen specializes in providing financial advice and portfolio management services 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.
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.
Please see note in schedule d - miscellaneous
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
GA
05/04/2018 - Present
Raymond James & Associates, Inc. (MACON GA)
GA
11/23/2015 - 04/24/2018
WELLS FARGO CLEARING SERVICES, LLC (MACON GA)
GA
12/11/2003 - 10/06/2014
WELLS FARGO ADVISORS, LLC (MACON GA)
NC
10/23/2000 - 02/22/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
GA
08/05/1994 - 10/06/2000
SUNTRUST EQUITABLE SECURITIES (ATLANTA GA)
NY
09/05/1990 - 02/24/1994
PUNK, ZIEGEL & KNOELL, L.P. (NEW YORK NY)
NY
09/22/1987 - 09/04/1990
NEEDHAM & COMPANY, INC. (NEW YORK NY)
BC
Issued 10/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/21/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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