Ellen B. Derrick
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 Bordelon Derrick, CFP®, who also goes by Ellen Delaura Bordelon, Ellen Delaura Bordelon Derrick, Ellen Bordelon Derrick, Ellen Delaura Derrick, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 2000. Ellen had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2013 - March 19, 2014
LEARNVEST PLANNING SERVICES, LLC
August 3, 2009 - August 24, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 31, 2009 - August 24, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 2007 - August 3, 2009
LPL FINANCIAL LLC
March 8, 2004 - August 3, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
July 31, 2003 - August 3, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
April 5, 2002 - August 6, 2003
BNY MELLON SECURITIES LLC
January 12, 2000 - April 9, 2002
EDWARD JONES
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
LEARNVEST PLANNING SERVICES, LLC
CRD#: 162453 / SEC#: 801-76617
Contact information
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.
