Unclaimed
Patricia Ellerby is an investment advisor representative registered with TIAA-CREF Individual & Institutional Services, LLC. Patricia is a licensed professional who has been serving the financial industry since 1999. Patricia has been working with TIAA-CREF Individual & Institutional Services, LLC since 2023 and has previously held roles with LPL Financial LLC, Raymond James Financial Services, Inc., Cetera Investment Services LLC, Edward Jones, LPL Financial Corporation, Piper Jaffray & Co., Dean Witter Reynolds Inc. and Prudential Securities Incorporated. Patricia offers financial planning, selection of other advisors and portfolio management for individuals.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
CO
10/20/2023 - Present
Tiaa-Cref Individual & Institutional Services, LLC (DENVER CO)
CO
07/21/2022 - 10/17/2023
LPL FINANCIAL LLC (DENVER CO)
CO
06/14/2017 - 08/02/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (DENVER CO)
CO
04/14/2016 - 06/13/2017
CETERA INVESTMENT SERVICES LLC (LITTLETON CO)
CO
01/10/2012 - 11/05/2015
EDWARD JONES (DENVER CO)
CO
05/24/2006 - 03/29/2010
LPL FINANCIAL CORPORATION (BOULDER CO)
MN
02/21/2001 - 06/14/2004
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NY
04/06/1999 - 02/22/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/15/1993 - 01/03/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/22/1988 - 09/16/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 01/10/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 04/05/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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