Maria L. Ellis

Some features on this profile are disabled

CRD#: 1188525

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.

Maria Luisa Ellis, who also goes by Maria Luisa Moore, was a registered financial professional .

Maria is a previously registered financial professional and started their career in finance in 1991. Maria had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Maria Luisa Moore

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

May 26, 2017 - February 20, 2022

INTE SECURITIES LLC

CRD#: 47107

BOCA RATON, FL

Past

August 8, 2001 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

August 8, 2001 - December 19, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

February 16, 1999 - November 29, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

July 14, 1998 - September 18, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 26, 1997 - March 30, 1998

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

December 23, 1994 - July 28, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

February 15, 1994 - September 21, 1994

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

November 12, 1993 - September 16, 1994

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 18, 1991 - December 16, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

March 18, 1991 - December 16, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/2/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/8/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/15/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INTE SECURITIES LLC

EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: , 8-51667

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433

Mailing Address

7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433

Phone number

(212) 897-1694

Established

Florida since 08/14/2018

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SPINDEL, ALAN	MEMBER	6141844
SPINDEL, HOWARD	MEMBER	708042
SPINDEL, JAY	MEMBER	1839344
STUPAY, MICHAEL ELLIOT	MEMBER	2287906
STUPAY, SHELLEY	MEMBER	5570644
OBSBAUM, FREDRIC MICHAEL	CCO	1160811

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Maria L. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MONY SECURITIES CORPORATION

MML INVESTORS SERVICES, LLC

PMG SECURITIES CORPORATION

GRUNTAL & CO., L.L.C.

FINANCIAL HORIZONS SECURITIES CORPORATION

CITICORP INVESTMENT SERVICES

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/2018

Series 65

Date: 9/8/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2016

Series 6

Date: 3/15/1991

Current Firm

INTE SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTE SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors