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Stephanie A. Ellis

STATE STREET GLOBAL MARKETS
BOSTON, MA 02114-2016
CRD#: 5332393
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SE
Stephanie Austin EllisSTATE STREET GLOBAL MARKETS

Professional summary

Stephanie Austin Ellis, who also goes by Stephanie Anne Austin, is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2007. Stephanie has worked at 3 firms and has passed the Series 66, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie Anne Austin

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 Stephanie Austin Ellis's 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

June 11, 2026 - Present

STATE STREET GLOBAL MARKETS, LLC

Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016
BD
CRD#: 285852
BOSTON, MA
Past

June 1, 2010 - October 22, 2010

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

January 19, 2010 - May 25, 2010

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
ANDOVER, MA
Past

October 15, 2007 - May 25, 2010

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
ANDOVER, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/17/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/16/2008
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/27/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC

CRD#: 285852 / SEC#: , 8-69862

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

Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
STATE STREET CORPORATIONPARENT COMPANY
BAMBINO, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER4237874
CHARLAND, JOSEPH LEONARDDIRECTOR5183891
FORTUNA, GREGORY PAULDIRECTOR3168105
MARZILIANO, MICHAELPRINCIPAL OPERATIONS OFFICER1527133
MAXHAM, DAVID GOULDDIRECTOR6372664
MCKEON, ROBERT ADIRECTOR7638847
MORGAN, DANIEL ROBERTCHIEF EXECUTIVE OFFICER2743457
SIGLAIN, TARYN ANNDIRECTOR5163466
SOR, LYDIRECTOR7996223
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER4856280

Disclosures

Regulatory Event4

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STATE STREET GLOBAL MARKETS, LLC

CRD#: 285852Boston, MA 02114-2016

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