Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen? Claim Your ProfileEllen M Chan is a financial advisor with over 20 years of experience in the industry. Ellen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York and New Jersey. Before joining Merrill Lynch, Ellen has also worked with several other firms, including BANC OF AMERICA INVESTMENT SERVICES, INC., CITICORP INVESTMENT SERVICES, and CHASE INVESTMENT SERVICES CORP. Ellen holds Series 63, 65 and 7 licenses and has passed the SIE exam. Ellen specializes in providing investment advice to individuals and businesses, and has extensive experience in portfolio management.
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
NY
02/07/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
NY
05/31/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GARDEN CITY NY)
NY
01/10/2005 - 02/09/2006
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IL
11/08/2004 - 12/09/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
08/23/2004 - 10/27/2004
WESTROCK ADVISORS, INC. (NEW YORK NY)
NY
09/09/2002 - 09/10/2002
MURIEL SIEBERT & CO., INC. (NEW YORK NY)
CA
03/22/2000 - 07/24/2002
DREYFUS BROKERAGE SERVICES, INC. (LOS ANGELES CA)
GA
12/07/1999 - 03/14/2000
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
IA
Issued 08/20/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1999
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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