Ellen V. Springer
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 Virginia Springer, who also goes by Ellen VIrginia Caldwell, Ellen Hollander, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 2002. Ellen had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 27, Series 28, Series 53, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2012 - September 27, 2013
INVEST FINANCIAL CORPORATION
December 21, 2011 - September 27, 2013
INVEST FINANCIAL CORPORATION
January 12, 2005 - December 31, 2009
INVESTORS CAPITAL CORP.
March 17, 2004 - December 31, 2004
EASTERN POINT ADVISORS INC.
January 2, 2004 - December 31, 2009
INVESTORS CAPITAL CORP.
October 2, 2003 - February 18, 2004
DEMPSEY FINANCIAL NETWORK, INC.
June 2, 2003 - February 18, 2004
DEMPSEY FINANCIAL NETWORK, INC.
May 21, 2002 - June 2, 2003
ALLSTATE FINANCIAL SERVICES, LLC
May 13, 2002 - June 4, 2002
MML INVESTORS 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
Series 28
Date: 11/4/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| 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.
