Garrett C. Ellsworth
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.
Garrett Carl Ellsworth, who also goes by Garrett Ellsworth, was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 2001. Garrett had worked at 2 firms and has passed the Series 63, 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
Experience
November 9, 2007 - September 1, 2015
GE CAPITAL MARKETS, INC.
April 10, 2001 - October 11, 2007
BNY CAPITAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
GE CAPITAL MARKETS, INC.
CRD#: 13349 / SEC#: , 8-29149
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
