Ellen H. Gibbs
Professional summary
Ellen H Gibbs, who also goes by Ellen H Engeman, Ellen H Engman, Ellen Engman, Elly Engman, Ellen Gibbs, Elly Gibbs, is a registered financial professional currently at JONESTRADING located in San Francisco, California.
Ellen is registered as a RR (Registered Representative) and started their career in finance in 1986. Ellen has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ellen H Gibbs's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2002 - Present
JONESTRADING
Office #1: 3328 Steiner Street Office #1, San Francisco, CA 94123September 1, 1999 - April 30, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 21, 1997 - November 19, 1998
VOLPE BROWN WHELAN & COMPANY, LLC
May 22, 1995 - April 14, 1997
RODMAN & RENSHAW INC.
July 21, 1993 - April 28, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
November 1, 1989 - July 12, 1993
CHARLES SCHWAB & CO., INC.
June 1, 1989 - December 12, 1989
FALCON RESEARCH, INC.
May 26, 1987 - May 13, 1989
CHARLES SCHWAB & CO., INC.
May 22, 1986 - May 13, 1987
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2002)
(6/3/2002)
(10/22/2015)
(6/3/2002)
(3/25/2009)
(7/16/2019)
(12/20/2013)
(11/18/2011)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/14/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
JONESTRADING
CRD#: 6888 / SEC#: , 8-26089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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