Everett R. Ellerman
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.
Everett Roy Ellerman, who also goes by Ev Ellerman, Everett Ro Ellerman, was a registered financial professional .
Everett is a previously registered financial professional and started their career in finance in 1987. Everett had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2008 - December 2, 2015
FINANCIAL WEST GROUP
November 22, 2002 - January 16, 2008
THE SHEMANO GROUP, INC.
February 11, 2002 - December 4, 2002
FIRST ALLIED SECURITIES, INC.
February 6, 2002 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
October 5, 1998 - January 25, 2002
ROTH CAPITAL PARTNERS, LLC
July 24, 1996 - October 5, 1998
H.J. MEYERS & CO., INC.
January 22, 1992 - August 11, 1995
UBS FINANCIAL SERVICES INC.
September 22, 1987 - January 17, 1992
PRUDENTIAL EQUITY GROUP, 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
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
