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EW

Ellen M. Wile

LIGHTSPEED FINANCIAL SERVICES GROUP LLC
Morristown, NJ 07960
Some features on this profile are disabled
CRD#: 4505397
EW

Professional summary

Ellen M Wile is a registered financial professional currently at LIGHTSPEED FINANCIAL SERVICES GROUP LLC located in Morristown, New Jersey.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 2002. Ellen has worked at 11 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ellen M Wile's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 21, 2014 - Present

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

Office #1: 20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
BD
CRD#: 104369
Morristown, NJ
Past

March 7, 2017 - May 4, 2018

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

April 27, 2015 - November 1, 2016

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

March 25, 2013 - April 8, 2014

ABN AMRO CLEARING USA LLC

BD
CRD#: 14020
CHICAGO, IL
Past

June 14, 2012 - July 31, 2012

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

February 7, 2008 - July 31, 2012

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
DALLAS, TX
Past

August 21, 2006 - January 4, 2008

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
PHILADELPHIA, PA
Past

May 4, 2006 - August 2, 2006

BELLEVUE CHICAGO, LLC

BD
CRD#: 106069
NEEDHAM, MA
Past

February 1, 2006 - March 3, 2006

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
PHILADELPHIA, PA
Past

February 3, 2003 - December 19, 2003

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

July 1, 2002 - November 12, 2004

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY
Past

July 1, 2002 - February 1, 2006

INET ATS, INC.

BD
CRD#: 20746
JERSEY CITY, NJ
Past

April 15, 2002 - June 28, 2002

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(5/21/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/13/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/12/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/2003
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LF
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
LIGHTSPEED | LIME BROKERAGE LLC | LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369 / SEC#: , 8-52843

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Mailing Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Phone number
(888) 577-3123
Established
Delaware since 08/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED HOLDINGS LLCDIRECT OWNER
CHUN, YUEN NAFINOP2219603
GIBB, THOMAS ANTHONYPRESIDENT/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER4750905
NAIB, FARID AHMEDCEO6285310
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070
WEDBUSH FINANCIAL SERVICES, LLCDIRECT OWNER

Disclosures

Regulatory Event42

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.

Company Information

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369Morristown, NJ 07960

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