Ellen Brookman, financial advisor Concord CA
93 score

Ellen Brookman

CRD Number: 5305046
Current Firm: Waddell & Reed

Ellen Brookman (CRD# 5305046) is an Investment Advisor Representative working at Waddell & Reed in Concord, CA and has over 10 years of experience in the finance industry.

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Company Name Location Dates Years
Various Insurance Carriers For W&r Ins Agencies Walnut Creek, CA Jun 2007 - Current 10
Waddell & Reed, Inc. Concord, CA Mar 2007 - Current 10
N/a Winston-salem, NC Jun 2006 - Current 11
Unemployed Walnut Creek, CA Jan 2007 - Mar 2007 < 1
Carrier Access Boulder, CO Aug 2006 - Jan 2007 < 1
Unemployed Walnut Creek, CA Jun 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2007
Contact Info for Ellen A. Brookman
Phone Number: 913-236-2000
Firm Website: http://www.waddell.com
Registered State(s):
  • AK
  • AR
  • CA
  • CO
  • TX
  • WA
By the Numbers
  • Total Assets Under Management
    18,309
    MILLIONS
  • Total Number of Accounts
    149,599
    ACCOUNTS
  • Average Account Value
    $122,387
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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