Ellen S. Livingston
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 Sue Livingston was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1999. Ellen had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2016 - June 21, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
May 19, 2015 - May 29, 2015
GROVE POINT INVESTMENTS, LLC
May 15, 2015 - May 29, 2015
GROVE POINT INVESTMENTS, LLC
November 11, 2009 - May 15, 2015
GROVE POINT INVESTMENTS, LLC
November 11, 2009 - May 15, 2015
GROVE POINT INVESTMENTS, LLC
June 27, 2006 - May 6, 2009
WAMU INVESTMENTS, INC.
September 17, 1999 - May 6, 2009
WAMU INVESTMENTS, INC.
April 28, 1999 - September 1, 1999
WESTFIN SECURITIES CORPORATION
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
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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