Ellen R. Brasee
FALCON WEALTH PLANNING | Financial Planner at Falcon Wealth Planning
ONTARIO, CA 91764
CRD#: 3058868
Professional summary
Ellen Reese Brasee, AIF®, CFP®, who also goes by Ellen R Brasee, Ellen Reese Brasee, Reese Brasee, Ellen L Reese, Ellen Louise Reese, is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Ontario, California.
Ellen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Ellen has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Biography
Ellen Brasee began her career as a Financial Planner in 1998, and serves clients by helping them strategize, then realize their financial goals. In addition to portfolio analysis and investment management, Ellen specializes in retirement planning strategies.
Prior to working with a fee-only advisory firm, Ellen held her FINRA series 7, 24, and 66 licenses, and is a Mensa member. Over her career, she has been associated with such firms as TD Ameritrade, Merrill Lynch, and Citicorp. She received her Bachelor's degree in Business from the A. Gary Anderson Graduate School of Management at the University of California, Riverside.
When she isn’t working, Ellen is usually out riding motorcycles with Pete, her husband of 41 years, and staying connected to their three adult children, Matthew, Dominique, and Morgan.
Professional Designations & Licenses
- Certified Financial PlannerTM Professional (CFP®)
- Accredited Investment Fiduciary (AIF®)
About Falcon Wealth Planning:
Falcon Wealth Planning, Inc. is a Registered Investment Advisor offering an innovative business model for financial planning; a model that places the client first by design and eliminates the conflicts of interest inherent in traditional models.
Every aspect of Falcon Wealth Planning is aligned with the client’s interests. The hybrid, retainer-based business model overcomes one of the major criticisms of the financial planning industry: a conflict of interest between the client’s needs and the advisor’s compensation. Falcon Wealth advisors are salaried employees who are never compensated by the sale of financial products or asset management fees, allowing them to focus on providing the best planning advice for their clients.
Question & Answer
What are your service offerings?
Financial Planning
Investment Management
Tax Planning
Tax Preparation
Retirement Planning
Estate Planning
Business Planning
Do you have an area of expertise or specialization?
Blended Families
Budgeting
Cash Flow Analysis
Customized Portfolios
Divorce Planning
Emergency Funds Management
Estate Planning
Executive Compensation (ISO, R...
FIRE (Financial Independence R...
High Net Worth Planning
Investment Management
Philanthropic and Non-Profit
Real Estate (LLP, REIT's, Priv...
Retirement Planning
Risk Management and Insurance ...
Small Business Planning
Tax Planning and Preparation
What is your minimum asset requirement?
250K
How do you get paid?
Fee-only
Are you a "fiduciary"?
Yes
Aliases
Ellen R Brasee | Ellen Reese Brasee | Reese Brasee | Ellen L Reese | Ellen Louise Reese
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ellen Reese Brasee'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®
CFP®
Start date: 2014
Education
University of California, Riverside
Bachelor's in Business - A. Gary Anderson Graduate School of Management
Experience
Current
March 3, 2021 - Present
FALCON WEALTH PLANNING, INC.
Office #1: 3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764RIA
CRD#: 174092
ONTARIO, CA
Past
October 21, 2019 - March 2, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ONTARIO, CA
Past
October 18, 2019 - March 2, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ONTARIO, CA
Past
June 15, 2016 - October 15, 2019
WADDELL & REED
RIA
CRD#: 866
SHERMAN OAKS, CA
Past
June 14, 2016 - October 15, 2019
WADDELL & REED
BD
CRD#: 866
SHERMAN OAKS, CA
Past
March 24, 2014 - September 18, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN BERNARDINO, CA
Past
March 24, 2014 - September 18, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN BERNARDINO, CA
Past
October 7, 2011 - November 19, 2013
TD AMERITRADE, INC.
RIA
CRD#: 7870
INDIAN WELLS, CA
Past
October 7, 2011 - November 19, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
INDIAN WELLS, CA
Past
October 7, 2011 - November 19, 2013
TD AMERITRADE, INC.
BD
CRD#: 7870
INDIAN WELLS, CA
Past
March 28, 2006 - February 22, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
PERRIS, CA
Past
March 3, 2006 - February 22, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
PERRIS, CA
Past
November 3, 2003 - March 3, 2006
DFC INVESTOR SERVICES
BD
CRD#: 18558
CHINO HILLS, CA
Past
March 10, 2003 - November 6, 2003
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
BEAUMONT, CA
Past
February 5, 2003 - November 6, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 15, 2002 - February 5, 2003
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
August 12, 1998 - February 4, 2002
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
CRD#: 174092 / SEC#: 801-112659
RIA
Registered Investment Advisory firm - (3/19/2018 Approved)California
Registered Investment Advisory firm - (5/5/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(3/4/2021)
IAR
Texas(3/3/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
CRD#: 174092 / SEC#: 801-112659
RIA
Registered Investment Advisory firm - (3/19/2018 Approved)California
Registered Investment Advisory firm - (5/5/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764
Mailing Address
Phone number
(855) 963-2526
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,575 |
| AUM (Assets Under Management) | $ 1,159,538,045 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FALCON WEALTH PLANNING, INC.
Financial Planner at Falcon Wealth PlanningCRD#: 174092Ontario, CA 91764TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
