Ellen S. Lyle
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ellen Sherwood Lyle, who also goes by Ellen Sherwood Day, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1982. Ellen had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2005 - March 25, 2014
TRICAPITAL ADVISORS INC
April 21, 1997 - January 9, 2002
FERRIS, BAKER WATTS, LLC
July 23, 1990 - April 23, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 6, 1984 - January 9, 1989
CORBY CAPITAL MARKETS, INC.
July 29, 1982 - May 29, 1984
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRICAPITAL ADVISORS INC
CRD#: 109224 / SEC#: 801-55933
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
