Ellen Szymkiewicz
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 Szymkiewicz, who also goes by Ellen Linder Freeman, Ellen Linder, Ellen Edith Piatt, Ellen Piatt Piatt, Ellen Piatt, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1981. Ellen had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2009 - March 29, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - March 29, 2012
CHASE INVESTMENT SERVICES CORP.
April 27, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
May 1, 2002 - May 2, 2009
WAMU INVESTMENTS, INC.
December 18, 1996 - May 1, 2002
DIME SECURITIES, INC.
February 8, 1993 - December 12, 1996
CUNA BROKERAGE SERVICES, INC.
December 12, 1990 - February 2, 1993
NYLIFE SECURITIES LLC
June 2, 1983 - May 17, 1986
MML INVESTORS SERVICES, LLC
March 2, 1983 - May 17, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
April 20, 1981 - April 18, 1983
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
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.
