Ellen C. Dubuque

ROSSI DUBUQUE BRECKENRIDGE

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CRD#: 1140494

Professional summary

Ellen Cora Dubuque, CFP®, who also goes by Ellen C Miller, is a registered financial advisor currently at ROSSI DUBUQUE BRECKENRIDGE, LLC .

Ellen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Ellen has worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ellen C Miller

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellen Cora Dubuque's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

January 9, 2013 - Present

ROSSI DUBUQUE BRECKENRIDGE, LLC

RIA

CRD#: 155284

Past

February 16, 2011 - December 31, 2012

ROSSI DUBUQUE BRECKENRIDGE, LLC

RIA

CRD#: 155284

MINNEAPOLIS, MN

Past

December 14, 1992 - January 20, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MINNEAPOLIS, MN

Past

May 29, 1990 - December 17, 1992

AEGIS INVESTMENTS, INC.

CRD#: 16033

ST LOUIS PARK, MN

Past

May 25, 1988 - June 6, 1990

INTERCAP FINANCIAL CORPORATION

CRD#: 15420

Past

May 12, 1986 - May 23, 1988

WIC CORP.

CRD#: 17510

Past

February 20, 1986 - April 21, 1986

DAVID J. PETTERSON & ASSOCIATES, LTD.

CRD#: 10658

Past

April 12, 1984 - January 16, 1986

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Past

July 21, 1983 - April 11, 1984

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(12/9/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/1984

General Securities Principal Examination

Current Firm

ROSSI DUBUQUE BRECKENRIDGE, LLC

CRD#: 155284 / SEC#:

California

Registered Investment Advisory firm - (11/24/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (11/15/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3033 Campus Drive Suite N147, Plymouth, MN 55441

Mailing Address

Phone number

(612) 870-9579

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Ellen C. Dubuque

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellen Cora Dubuque's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSSI DUBUQUE BRECKENRIDGE, LLC

ROSSI DUBUQUE BRECKENRIDGE, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

AEGIS INVESTMENTS, INC.

INTERCAP FINANCIAL CORPORATION

WIC CORP.

DAVID J. PETTERSON & ASSOCIATES, LTD.

W&S BROKERAGE SERVICES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/1983

Series 7

Date: 7/16/1983

Series 24

Date: 6/8/1984

Current Firm

ROSSI DUBUQUE BRECKENRIDGE, LLC

Contact information

Documents

Red Flags

Company Information

ROSSI DUBUQUE BRECKENRIDGE, LLC

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