Ellen L. Margaretten
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 Lapin Margaretten, who also goes by Ellen Lapin, Ellen Margaretten, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1979. Ellen had worked at 9 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1990 - October 25, 1990
FINANCIAL ASSET GROUP, INC.
October 25, 1988 - April 20, 1990
COMMVEST SECURITIES,INC.
July 6, 1987 - January 17, 1989
MARGARETTEN SECURITIES CORPORATION
March 3, 1982 - June 10, 1987
HUBERMAN SECURITIES CORP.
September 5, 1981 - March 30, 1982
ROSS, STEBBINS INC.
May 28, 1981 - September 29, 1981
JOHN MUIR & CO.
April 14, 1981 - February 9, 1982
ABRAMS SECURITIES, INC.
January 4, 1980 - May 10, 1981
PRUDENTIAL EQUITY GROUP, LLC
July 27, 1979 - February 1, 1980
LOWRY FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL ASSET GROUP, INC.
CRD#: 23298 / SEC#: , 8-40054
Contact information
Documents
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.
