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EB

Ellen S. Baron

OUTCOME CAPITAL
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 6236211
EB

Professional summary

Ellen Sue Baron, who also goes by Ellen Sue Driggin, is a registered financial professional currently at OUTCOME CAPITAL, LLC located in Boston, Massachusetts.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 2018. Ellen has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ellen Sue Driggin

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 Sue Baron'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

October 11, 2018 - Present

OUTCOME CAPITAL, LLC

Office #1: 99 High Street Suite 2900, Boston, MA 02110
BD
CRD#: 100960
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
(11/20/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/24/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OUTCOME CAPITAL, LLC
OUTCOME CAPITAL, LLC | WWC SECURITIES, LLC | WALLACE WILLMORE CROMWELL SECURITIES, LLC

CRD#: 100960 / SEC#: , 8-52060

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

Main Address
20 Custom House 12th Floor, Boston, MA 02110
Mailing Address
20 Custom House 12th Floor, Boston, MA 02110
Phone number
(617) 431-2278
Established
Massachusetts since 11/02/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 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#
OUTCOME CAPITAL HOLDING, LLCOWNER
FREEDMAN, ARNOLD ELIOTCEO4074954
HAUSLER, DAVID PATRICKFINOP / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER4192872

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

OUTCOME CAPITAL, LLC

CRD#: 100960Boston, MA 02110

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