Ellen E. Cain
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 Elizabeth Cain, CFP®, who also goes by Ellen E Seagle, Ellen Elizabeth Stallings, Ellen Elizabeth Stallings Seagle, Ellen E Stallingsseagle, 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 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2021
Experience
November 16, 2020 - February 7, 2022
COLTON GROOME FINANCIAL ADVISORS, LLC
February 23, 2005 - March 29, 2006
UBS FINANCIAL SERVICES INC.
October 27, 2000 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
May 3, 1999 - September 20, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
COLTON GROOME FINANCIAL ADVISORS, LLC
CRD#: 128365 / SEC#: 801-113274
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
COLTON GROOME FINANCIAL ADVISORS, LLC
CRD#: 128365 / SEC#: 801-113274
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 946 |
| AUM (Assets Under Management) | $ 444,012,621 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 | ||
| 11/27/2023 | ||
| 01/27/2023 |
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.
