Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Gregg Ellen is a financial advisor with Osaic Wealth, INC., specializing in providing financial advice to individuals and businesses. With over 30 years of experience, Keith has a proven track record of helping clients achieve their financial goals. Keith holds the Series 6, 7, 22, 63 and 66 licenses and has held positions at several prominent financial institutions, including Securities America, INC. and Royal Alliance Associates, INC. Keith is committed to providing personalized financial guidance and building long-term relationships with clients.
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.
A percentage of the total value of assets under management is charged.
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2
CA
06/14/2024 - Present
Osaic Wealth, Inc. (Woodland Hills CA)
CA
10/23/2004 - 06/14/2024
SECURITIES AMERICA, INC. (Woodland Hills CA)
CA
01/19/2000 - 10/22/2004
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
CA
05/01/1998 - 01/03/2000
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
04/15/1998 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
AZ
07/16/1997 - 03/05/1998
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CA
01/19/1996 - 07/11/1997
GLENFED BROKERAGE SERVICES (GLENDALE CA)
NV
11/10/1995 - 01/18/1996
FINANCIAL WEST GROUP (RENO NV)
NA
11/23/1994 - 11/10/1995
UNICORP FINANCIAL GROUP
AZ
08/16/1993 - 12/02/1994
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
02/24/1993 - 08/17/1993
UNICORP FINANCIAL GROUP
CA
05/02/1991 - 10/23/1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
AZ
11/19/1989 - 04/15/1991
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
03/09/1989 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
BOTH
Issued 7/18/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 2/4/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/8/1998
Series 7 - General Securities Representative Examination
BC
Issued 4/4/1989
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 3/7/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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