Ellen M. Duhamel

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CRD#: 1277749

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 Marie Duhamel, CFP® was a registered financial professional .

Ellen is a previously registered financial professional and started their career in finance in 1984. Ellen had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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®

CFP^®

Certified Financial Planner

Experience

Past

September 3, 2013 - January 31, 2022

GRANITE FINANCIAL GROUP

RIA

CRD#: 168675

BROOKFIELD, WI

Past

August 30, 2013 - December 31, 2021

LPL FINANCIAL LLC

CRD#: 6413

BROOKFIELD, WI

Past

June 1, 2009 - September 6, 2013

MORGAN STANLEY

RIA

CRD#: 149777

WAUKESHA, WI

Past

June 1, 2009 - September 6, 2013

MORGAN STANLEY

CRD#: 149777

WAUKESHA, WI

Past

April 24, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WAUKESHA, WI

Past

April 24, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WAUKESHA, WI

Past

January 1, 2008 - April 29, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FRANKLIN, WI

Past

May 19, 1986 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

FRANKLIN, WI

Past

April 29, 1986 - May 7, 1986

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Past

July 9, 1984 - April 21, 1986

CHARTER SECURITIES CORPORATION

CRD#: 7062

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GRANITE FINANCIAL GROUP

GRANITE FINANCIAL GROUP | GRANITE FINANCIAL GROUP, LLC

CRD#: 168675 / SEC#: 801-116752

RIA

Registered Investment Advisory firm - (6/6/2019 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/7/2019 Terminated)

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).

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.

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

IAR

Series 66

Date: 4/2/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/30/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/5/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 1/22/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GRANITE FINANCIAL GROUP

GRANITE FINANCIAL GROUP | GRANITE FINANCIAL GROUP, LLC

CRD#: 168675 / SEC#: 801-116752

RIA

Registered Investment Advisory firm - (6/6/2019 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/7/2019 Terminated)

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Contact information

Main Address

175 N. Patrick Blvd. Suite 170, Brookfield, WI 53045-5857

Mailing Address

Phone number

(262) 792-1111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/19/2025)

FORM ADV PART 2A APPENDIX 1 - WRAP BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	491
AUM (Assets Under Management)	$ 170,600,000

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.

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Firm Stability Insights

Ellen M. Duhamel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

CAPITAL FINANCIAL SERVICES, INC.

CHARTER SECURITIES CORPORATION

Primary Firm SEC Registration

GRANITE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 4/2/2004

Series 63

Date: 6/21/1984

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1985

Series 22

Date: 7/30/1984

Series 6

Date: 7/5/1984

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 1/22/1999

Current Firm

GRANITE FINANCIAL GROUP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRANITE FINANCIAL GROUP

TRUST BUT VERIFY

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