Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristen? Claim Your ProfileKristen Mattingly Ellis is a financial advisor with Raymond James & Associates, Inc. in Memphis, TN. Kristen has been in the industry since 2007 and is registered with the state of Tennessee as a securities agent and investment advisor representative. Kristen has passed several securities exams including the Series 7, Series 63, Series 10, Series 9, and SIE.
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.
Please see note in schedule d - miscellaneous
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
TN
11/09/2016 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
07/22/2016 - 09/20/2016
MUTUAL SECURITIES, INC. (Memphis TN)
TN
06/23/2011 - 07/25/2016
CETERA ADVISOR NETWORKS LLC (MEMPHIS TN)
TN
11/22/2007 - 07/11/2011
CHARLES SCHWAB & CO., INC. (GERMANTOWN TN)
IA
Issued 04/02/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/26/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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