Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen? Claim Your ProfileEllen K r Herting is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. Ellen has been in the securities industry since 1983 and has a wide range of experience. She is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 3, Series 7, and Series 63 licenses. Ellen is also registered as an investment advisor representative in Florida and Texas. She is committed to providing her clients with the highest level of service and helping them achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
07/18/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOCA RATON FL)
FL
10/23/2002 - 07/10/2006
MORGAN STANLEY DW INC. (CORAL SPRINGS FL)
NY
09/21/1994 - 09/24/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/19/1983 - 09/15/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 04/19/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1989
Series 3 - National Commodity Futures Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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