Ellen P. Griffing
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 Patricia Griffing, who also goes by Ellen Patricia Curtis, Ellen Curtis Griffing, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1997. Ellen had worked at 7 firms and has passed the Series 66, 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
October 23, 2006 - December 31, 2018
GLOBAL PORTFOLIO STRATEGIES, INC.
April 30, 2005 - July 16, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 31, 2004 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
August 31, 2004 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
May 9, 2003 - August 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1999 - January 7, 2003
JANNEY MONTGOMERY SCOTT LLC
August 11, 1998 - March 10, 1999
OSAIC FS, INC.
June 6, 1997 - August 10, 1998
GLEACHER & COMPANY 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
Current Firm
GLOBAL PORTFOLIO STRATEGIES, INC.
CRD#: 105812 / SEC#: 801-16664
Contact information
Regulatory assets under management
| Total Number of Accounts | 285 |
| AUM (Assets Under Management) | $ 1,695,414,336 |
Red Flags
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