EL
Ellen M. Ladd
CETERA INVESTMENT ADVISERS LLC
FULTON, NY 13069
Some features on this profile are disabled
CRD#: 2703854
EL
Professional summary
Ellen M Ladd, who also goes by Ellen Marie Courtney, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fulton, New York and CETERA WEALTH SERVICES, LLC located in Fulton, New York.
Ellen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Ellen has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ellen Marie Courtney
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Ladd Tax & Financial Services Inc~'NIR'~25 Canalview Mall, PO Box 56~Fulton~NY~13069~Tax Preparation/Accounting~President~8/24/2015~175hrs~80hrs~Tax, Accounting,Payroll, Notary|Avantax Insurance Agency and/or Avantax Insurance Services~'NIR'~3200 Olympus Blvd., Suite 100~Dallas~TX~75019~Equity Indexed Annuity~Agent~9/14/2007~6hrs~4hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL).| 2) POA FOR MOTHER POSITION: POA NATURE: Oversee Mom's banking and paying of bills as she is in a nursing home. I do not oversee any of her investments. I have dual POA with my brother. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 04/11/2024 ADDRESS: 25 Canalview Mall, Fulton NY 13069, United States DESCRIPTION: Mom is in a nursing home. I make sure her monthly bill is paid. I buy her clothes and any incidentals that she may want. I have dual POA with my brother. I handle all communications with regards to my mom.
CRS (Client Relationship Summary) - RIA
Click below to view Ellen M Ladd's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 25 Canalview Mall, Fulton, NY 13069RIA
CRD#: 105644
FULTON, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 25 Canalview Mall, Fulton, NY 13069BD
CRD#: 13572
FULTON, NY
Past
August 20, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
FULTON, NY
Past
September 7, 2007 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FULTON, NY
Past
November 15, 2004 - July 26, 2007
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FULTON, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Indiana(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
