Jeffrey I. Ellner
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.
Jeffrey Ian Ellner was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1976. Jeffrey had worked at 3 firms and has passed the Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2002 - January 2, 2023
PLANNED FINANCIAL PROGRAMS, INC.
May 3, 1999 - December 12, 2002
PARK AVENUE SECURITIES LLC
May 21, 1976 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 5/17/1976
Registered Representative ExaminationCurrent Firm
PLANNED FINANCIAL PROGRAMS, INC.
CRD#: 3049 / SEC#: , 8-5727
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOCK, ROBERT WALTER | PRESIDENT/ VP/CHIEF COMPLIANCE OFFICER/TREASURER | 1835457 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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