Ellen R. Wittman
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 Rachelle Wittman, who also goes by Ellen R Wittman, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1976. Ellen had worked at 8 firms and has passed the Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2003 - January 13, 2016
BISHOP, ROSEN & CO., INC.
January 2, 2001 - August 2, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 16, 1996 - January 2, 2001
JWGENESIS SECURITIES, INC.
June 21, 1995 - December 20, 1996
LADENBURG THALMANN & CO. INC.
April 20, 1995 - May 1, 1995
AXIOM CAPITAL MANAGEMENT, INC.
October 14, 1986 - March 15, 1994
CITIGROUP GLOBAL MARKETS INC.
January 6, 1977 - April 17, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
March 2, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
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
PC
Date: 8/29/1977
AMEX Put and Call ExamCurrent Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
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.
