Ellen L. Sholty
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 L Sholty, who also goes by Ellen L Ainey, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 2004. Ellen had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2013 - June 7, 2013
CIG SECURITIES
June 15, 2006 - October 22, 2012
KESTRA INVESTMENT SERVICES, LLC
September 6, 2004 - June 5, 2006
FORESTERS EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CIG SECURITIES
CRD#: 129864 / SEC#: , 8-66266
Contact information
FINRA licenses (12 States and Territories)
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.
