Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen? Claim Your ProfileEllen Takagi-walsh is a financial professional with over 45 years of experience in the industry. Ellen is currently registered with RBC Capital Markets, LLC. Ellen has held previous positions at Donaldson, Lufkin & Jenrette Securities Corporation, Chase Securities Inc., Hambrecht & Quist LLC, Smith Barney Inc., Lehman Brothers Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Ellen is a registered investment advisor representative (IAR) and securities representative with expertise in portfolio management for individuals, businesses, pooled investment vehicles, and pension consulting.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MA
07/21/2015 - Present
RBC Capital Markets, LLC (BOSTON MA)
NJ
03/20/2001 - 12/20/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
02/01/2000 - 03/28/2001
CHASE SECURITIES INC. (NEW YORK NY)
CA
03/20/1996 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
07/31/1993 - 02/26/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
08/08/1980 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/26/1978 - 10/01/1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
07/05/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 10/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1987
Series 15 - Foreign Currency Options Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 06/18/1977
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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