Martha L. Ellingsworth
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.
Martha Lois Ellingsworth, who also goes by Martha Lois Swygert, was a registered financial professional .
Martha is a previously registered financial professional and started their career in finance in 1993. Martha had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2012 - June 27, 2022
SCHWAB WEALTH ADVISORY, INC.
January 26, 2012 - March 27, 2012
CHARLES SCHWAB & CO., INC.
September 21, 2007 - December 31, 2011
CHARLES SCHWAB & CO., INC.
January 1, 1996 - June 27, 2022
CHARLES SCHWAB & CO., INC.
October 14, 1993 - March 14, 1994
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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 8
Date: 7/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
