Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore Ellsworth is a financial professional with over 20 years of experience in the securities industry. Theodore has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2018, and prior to that, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2007 to 2017. Theodore is a Series 66, 65, 63, 7 and SIE licensed professional. Theodore is registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming. Theodore is also a registered Investment Advisor in the state of Texas. Theodore provides portfolio management for individuals and businesses, as well as pension consulting and educational seminars. Theodore is a highly experienced financial professional who is dedicated to providing his clients with the highest level of service.
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
TX
05/21/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
05/11/2007 - 12/01/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
CT
11/17/2003 - 05/14/2007
UST SECURITIES CORP. (STAMFORD CT)
NY
10/24/1996 - 08/31/2001
UST FINANCIAL SERVICES CORP. (NEW YORK NY)
NJ
07/26/1993 - 05/02/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 05/23/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/30/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/1993
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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