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Ellen Reese Brasee
AdvisorCheck Check Mark

Ellen R. Brasee

CRD#: 3058868
Ellen Reese Brasee
AdvisorCheck Check Mark

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 Reese Brasee, AIF®, CFP®, who also goes by Ellen R Brasee, Ellen Reese Brasee, Reese Brasee, Ellen L Reese, Ellen Louise Reese, was a registered financial professional .

Ellen is a previously registered financial professional and started their career in finance in 1998. Ellen had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Core Areas of Focus

Blended Families
Budgeting
Cash Flow Analysis
Customized Portfolios
Divorce Planning
Emergency Funds Management
Estate Planning
Executive Compensation (ISO
RSU
Stock Options)
FIRE (Financial Independence Retire Early)
High Net Worth Planning
Investment Management
Philanthropic and Non-Profit
Real Estate (LLP
REIT's
Private Placement)
Retirement Planning
Risk Management and Insurance Planning
Small Business Planning
Tax Planning and Preparation

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
What is your minimum asset requirement?
250K
How do you get paid?
Fee-only
Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 2014

Education

University of California, Riverside

Bachelor's in Business - A. Gary Anderson Graduate School of Management

Experience

Past

March 3, 2021 - December 2, 2025

FALCON WEALTH PLANNING, INC.

RIA
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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/27/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/1/2006
General Securities Principal Examination

Current Firm

FALCON WEALTH PLANNING, INC.
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)
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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
40

SEC notice filing (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (2/18/2026)

Regulatory assets under management

Total Number of Accounts5,242
AUM (Assets Under Management)$ 1,552,684,912

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.

Company Information

FALCON WEALTH PLANNING, INC.

FALCON WEALTH PLANNING, INC.

Financial Planner at Falcon Wealth PlanningCRD#: 174092

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Contact information

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