Ellen S. Brown
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 Brown was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 2000. Ellen had worked at 9 firms and has passed the Series 66 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
May 24, 2011 - May 25, 2012
TRUIST INVESTMENT SERVICES, INC.
May 24, 2011 - May 25, 2012
TRUIST INVESTMENT SERVICES, INC.
March 21, 2011 - May 25, 2011
NYLIFE SECURITIES LLC
August 4, 2008 - January 6, 2011
MSI FINANCIAL SERVICES, INC.
August 25, 2005 - August 1, 2008
MSI FINANCIAL SERVICES, INC.
January 18, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 18, 2005 - January 6, 2011
MSI FINANCIAL SERVICES, INC.
October 6, 2004 - January 12, 2005
WADDELL & REED
August 6, 2004 - January 12, 2005
WADDELL & REED
August 21, 2003 - November 10, 2003
MML INVESTORS SERVICES, LLC
May 8, 2002 - July 23, 2003
NEW ENGLAND SECURITIES
September 20, 2000 - February 19, 2002
IDS LIFE INSURANCE COMPANY
September 20, 2000 - February 19, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
