Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellen? Claim Your ProfileEllen Shain is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., with over 20 years of experience in the industry. Ellen previously worked at BANC OF AMERICA INVESTMENT SERVICES, INC. and QUICK & REILLY, INC. Ellen specializes in providing investment advice to individuals, corporations, and other businesses, and she also provides portfolio management services. Ellen is a registered representative with FINRA and the state of Connecticut and is a member of the Series 66, Series 63 and Series 7 programs. Ellen is also registered as an Investment Advisor Representative with the state of Texas.
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
MA
07/06/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
04/17/2001 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
BOTH
Issued 02/14/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/07/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/2001
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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