Ellen L. Tyler
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 Lynn Tyler, CFP®, who also goes by Ellen Lynn Dewar, Ellen L Tyler, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1984. Ellen had worked at 15 firms and has passed the Series 65, Series 63, SIE, 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
September 14, 2017 - April 5, 2019
PERSONAL CAPITAL ADVISORS CORPORATION
May 7, 2015 - September 21, 2017
STRATEGIC ADVISERS LLC
April 24, 2015 - September 20, 2017
FIDELITY BROKERAGE SERVICES LLC
December 4, 2014 - April 16, 2015
LARSON FINANCIAL GROUP, LLC
January 28, 2013 - December 3, 2014
LARSON FINANCIAL GROUP, LLC
January 28, 2013 - April 16, 2015
LARSON FINANCIAL SECURITIES, LLC
March 8, 2010 - November 23, 2012
GUGGENHEIM INVESTMENTS
March 8, 2010 - November 23, 2012
GUGGENHEIM DISTRIBUTORS, LLC
September 5, 2008 - February 4, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 5, 2008 - February 4, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2007 - July 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2007 - July 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2006 - July 9, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2006 - July 9, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2002 - January 11, 2006
NEUBERGER BERMAN BD LLC
November 7, 2000 - January 11, 2006
NEUBERGER BERMAN MANAGEMENT LLC
September 17, 1997 - January 11, 2006
NEUBERGER BERMAN BD LLC
May 26, 1995 - September 29, 1997
CALAMOS FINANCIAL SERVICES LLC
October 24, 1989 - February 14, 1991
CAPITAL BROKERAGE CORPORATION
May 22, 1986 - January 23, 1988
KEMPER FINANCIAL SERVICES, INC.
March 20, 1984 - March 13, 1985
SIGNATOR INVESTORS, INC.
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
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
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.
