Douglas K. Ellman
Professional summary
Douglas Keith Ellman is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 6TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Keith Ellman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2003 - Present
SHEARSON FINANCIAL SERVICES, LLC
Office #1: 7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433August 29, 2001 - June 9, 2003
BRILL SECURITIES, INC.
February 8, 2000 - August 31, 2001
NORTHEAST SECURITIES, LLC
September 29, 1994 - March 6, 2000
JWGENESIS SECURITIES, INC.
June 4, 1992 - October 5, 1994
THE STAMFORD COMPANY, INC.
February 26, 1990 - July 9, 1992
JOSEPHTHAL & CO., INC.
November 2, 1988 - March 8, 1990
A. T. BROD & CO. INC.
November 25, 1987 - November 8, 1988
J. W. GANT & ASSOCIATES, 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
(5/6/2008)
(10/23/2012)
(1/6/2004)
(3/6/2007)
(3/14/2023)
(6/11/2003)
(1/6/2004)
(7/17/2003)
(1/6/2004)
(1/22/2008)
(1/6/2025)
(6/11/2003)
(2/5/2013)
(6/11/2003)
(1/6/2004)
(5/23/2012)
(2/18/2009)
(6/11/2003)
(12/11/2014)
(2/2/2024)
(9/29/2014)
(7/20/2009)
(6/11/2003)
(12/3/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 8
Date: 11/15/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619 / SEC#: 801-61866, 8-48313
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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Company Information
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619Boca Raton, FL 33433TRUST BUT VERIFY
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