CE
Courtney L. Ellis
SYMETRA SECURITIES
Bellevue, WA 98004-5153
Some features on this profile are disabled
CRD#: 5460601
CE
Professional summary
Courtney Lynn Ellis, who also goes by Courtney Lynn Spaulding, Courtney Spaulding, is a registered financial professional currently at SYMETRA SECURITIES, INC. located in Bellevue, Washington.
Courtney is registered as a RR (Registered Representative) and started their career in finance in 2009. Courtney has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Courtney Lynn Spaulding | Courtney Spaulding
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.
CRS (Client Relationship Summary) - BD
Click below to view Courtney Lynn 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®
NoneExperience
Current
May 24, 2012 - Present
SYMETRA SECURITIES, INC.
Office #1: 777 108th Avenue Ne Suite 1200, Bellevue, WA 98004-5153BD
CRD#: 739
Bellevue, WA
Past
June 15, 2012 - December 3, 2012
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BELLEVUE, WA
Past
December 18, 2009 - May 21, 2012
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
MILL CREEK, WA
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
Alabama(5/24/2012)
RR
Alaska(5/24/2012)
RR
Arizona(5/24/2012)
RR
Arkansas(5/24/2012)
RR
California(5/24/2012)
RR
Colorado(5/24/2012)
RR
Connecticut(5/24/2012)
RR
Delaware(5/24/2012)
RR
District of Columbia(5/24/2012)
RR
Florida(5/24/2012)
RR
Georgia(5/24/2012)
RR
Hawaii(5/24/2012)
RR
Idaho(5/24/2012)
RR
Illinois(5/24/2012)
RR
Indiana(5/24/2012)
RR
Iowa(5/24/2012)
RR
Kansas(5/24/2012)
RR
Kentucky(5/24/2012)
RR
Louisiana(5/24/2012)
RR
Maine(5/24/2012)
RR
Maryland(5/24/2012)
RR
Massachusetts(5/24/2012)
RR
Michigan(5/24/2012)
RR
Minnesota(5/24/2012)
RR
Mississippi(5/24/2012)
RR
Missouri(5/24/2012)
RR
Montana(5/24/2012)
RR
Nebraska(5/24/2012)
RR
Nevada(5/24/2012)
RR
New Hampshire(5/24/2012)
RR
New Jersey(5/24/2012)
RR
New Mexico(5/24/2012)
RR
New York(5/24/2012)
RR
North Carolina(5/25/2012)
RR
North Dakota(5/24/2012)
RR
Ohio(5/25/2012)
RR
Oklahoma(5/24/2012)
RR
Oregon(5/24/2012)
RR
Pennsylvania(5/24/2012)
RR
Rhode Island(5/24/2012)
RR
South Carolina(5/24/2012)
RR
South Dakota(5/24/2012)
RR
Texas(5/24/2012)
RR
Utah(5/24/2012)
RR
Vermont(5/24/2012)
RR
Virginia(5/24/2012)
RR
Washington(5/24/2012)
RR
West Virginia(5/24/2012)
RR
Wisconsin(5/24/2012)
RR
Wyoming(5/24/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYMETRA SECURITIES, INC.
SAFECO SECURITIES, INC. | SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
777 108th Ave Ne, Suite 1200, Bellevue, WA 98004-5135
Mailing Address
777 108th Ave Ne, Suite 1200, Bellevue, WA 98004-5135
Phone number
(800) 796-3872
Established
Washington since 08/24/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
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.
