Ellen N. Alderson
Professional summary
Ellen Nichole Alderson, who also goes by Ellen Nichole Alderson, is a registered financial professional currently at CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Ellen is registered as a RR (Registered Representative) and started their career in finance in 2019. Ellen has worked at 6 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ellen Nichole Alderson's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2024 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108November 13, 2023 - December 5, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 9, 2022 - April 27, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 29, 2022 - August 16, 2022
RBC CAPITAL MARKETS, LLC
February 23, 2021 - April 25, 2022
OPEN TO THE PUBLIC INVESTING, INC.
February 20, 2019 - February 10, 2021
FIRST CITIZENS INVESTOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/23/2024)
Exams
Series 7TO
Date: 2/20/2019
General Securities Representative ExaminationFINRA
Current Firm
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
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.
