Ellen Bruen
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 Bruen, who also goes by Ellen Terhorst, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 2001. Ellen had worked at 3 firms and has passed the Series 63 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
Experience
June 20, 2011 - October 10, 2012
MAINFIRST SECURITIES US INC.
April 15, 2003 - September 14, 2004
JULIUS BAER SECURITIES INC.
March 14, 2001 - January 16, 2003
VONTOBEL SECURITIES LTD.
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
MAINFIRST SECURITIES US INC.
CRD#: 150982 / SEC#: , 8-68320
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL NICOLAUS EUROPE LIMITED | OWNER | |
| ATTARZADEH, EBRAHIM | PRINCIPAL | 5731255 |
| GIBB, MITCHELL WILSON | CHIEF COMPLIANCE OFFICER | 5456377 |
| GROSS, ANDREW PAUL | CHIEF EXECUTIVE OFFICER/PRESIDENT | 2402407 |
| KIRCHNER, BJOERN LUTZ | CHIEF FINANCIAL OFFICER/TREASURER/FINOP | 5696332 |
| OLEARY, EITHNE MARIA | DIRECTOR | 7118495 |
| OWEN, JOHN RICHARD | DIRECTOR | 7117746 |
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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