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Colleen Elizabeth Burbules

CRD# 4450462·Registered 2001 - 2012
Previously Registered: Being a previously registered professional could mean that Colleen 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.

Professional Summary

Colleen Elizabeth Burbules was a registered financial advisor. Colleen was a previously registered financial professional and started their career in finance 2001 - 2012. Colleen had worked at 5 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

ECM SECURITIES CORP.·CRD# 118356
BD
Erie, PA
June 15, 2012 - October 26, 2012
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
Erie, PA
November 30, 2004 - July 10, 2006
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
Erie, PA
November 17, 2004 - July 10, 2006
EDWARD JONES·CRD# 250
BD
St. Louis, MO
April 11, 2002 - March 9, 2004
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
October 17, 2001 - April 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
October 17, 2001 - April 12, 2002

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Current Firm

ES
ECM SECURITIES CORP.

ECM SECURITIES CORP.

CRD#: 118356 / SEC#: 8-53651
BD
Terminated by SEC on 09/23/2014

Contact Information

Established

Pennsylvania since 07/26/2001

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
EVANS CAPITAL MANAGEMENT, INC.OWNER—
ERHARTIC, STEVEN THOMASSECRETARY2821630
EVANS, JEFFREY WILLIAMPRESIDENT202975
LANEVE, ARTHUR ANTHONYCHIEF COMPLIANCE OFFICER4195705

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2001About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Jun 2012About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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