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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 Marie Pierce is a financial advisor at UBS Financial Services Inc. Ellen has been in the industry since 1996 and has held previous roles with MORGAN STANLEY DW INC. Ellen holds several licenses and certifications, including the Series 7, 3, 9, 10, 31, and 63 licenses. Ellen has been registered with FINRA since 2004 and is a registered investment advisor in 5 states. Ellen is also a partner in MA AND PA LLC / COUNTRY LIFE FARM, a partnership involved in agriculture and livestock. Ellen has extensive experience in financial planning, portfolio management, and pension consulting. Ellen provides a range of advisory services to individuals, businesses, and charitable organizations.
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
MD
07/21/2022 - Present
UBS Financial Services Inc. (BALTIMORE MD)
NY
02/29/1996 - 11/12/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 03/19/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/09/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2012
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 02/28/1996
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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