Ellen Waserstein, financial advisor New York NY

Ellen Waserstein

CRD Number: 705884
Current Firm: Citigroup Global Markets Inc.

Ellen Waserstein (CRD# 705884) is an Investment Advisor Representative working at Citigroup Global Markets Inc. in New York, NY and has over 40 years of experience in the finance industry.

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Company Name Location Dates Years
Citigroup Global Markets New York, NY May 2021 - Current 1
Unemployed New York, NY Nov 2019 - May 2021 1
Hsbc Bank Usa, N.a. Buffalo, NY Aug 2016 - Nov 2019 3
Hsbc Securities (usa) Inc. Buffalo, NY Apr 2013 - Nov 2019 6
Hsbc Securities (usa) Inc. New York City, NY Jan 2005 - Apr 2013 8
Hsbc Brokerage (usa) Inc. Buffalo, NY Oct 1995 - Apr 2013 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1982
S66 NASAA Uniform Combined State Law Examination Dec 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Ellen Waserstein
Phone Number: 212-816-6000
Registered State(s):
  • NY
By the Numbers
  • Total Assets Under Management
    43,883
    MILLIONS
  • Total Number of Accounts
    54,186
    ACCOUNTS
  • Average Account Value
    $809,861
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Other
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, WY

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