Brett S. Ellen
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.
Brett Scott Ellen, who also goes by Bret S Ellen, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1986. Brett had worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2021 - March 14, 2022
METRIC FINANCIAL, LLC
June 16, 2020 - February 9, 2021
ARQUE CAPITAL, LTD.
June 15, 2020 - February 8, 2021
ARQUE CAPITAL, LTD.
April 26, 2019 - November 12, 2019
INTERNATIONAL ASSETS ADVISORY, LLC
October 30, 2017 - December 31, 2018
DFPG INVESTMENTS, LLC
September 22, 2014 - November 8, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 23, 2013 - May 28, 2020
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC
October 26, 2004 - September 23, 2014
SECURITIES AMERICA ADVISORS, INC.
October 23, 2004 - September 23, 2014
SECURITIES AMERICA, INC.
November 23, 1999 - October 22, 2004
NATIONAL PLANNING CORPORATION
November 23, 1999 - October 22, 2004
NATIONAL PLANNING CORPORATION
November 19, 1989 - November 19, 1999
OSAIC WEALTH, INC.
November 7, 1989 - December 31, 1990
VOYA FINANCIAL ADVISORS, INC.
November 3, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 22, 1986 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
April 18, 1986 - August 5, 1986
AEGON USA SECURITIES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
METRIC FINANCIAL, LLC
CRD#: 33324 / SEC#: , 8-46684
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
