Ellen ZaneCRD Number: 1393554
Current Firm: Ubs Financial Services Inc.
Ellen Zane (CRD# 1393554) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Tampa, FL and has over 20 years of experience in the finance industry. Ellen Zane has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Ubs Financial Services Inc.||Tampa, FL||Aug 2014 - Current||2|
|Wells Fargo Advisors, LLC||Tampa, FL||Apr 2012 - Aug 2014||2|
|Morgan Stanley Smith Barney||Crystal River, FL||Jun 2009 - Apr 2012||2|
|Morgan Stanley & Co||Tampa, FL||Jan 2008 - Jun 2009||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Crystal River, FL||Mar 1996 - Jan 2008||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1996|
|S65||NASAA Investment Advisors Law Examination||Jun 1996|
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
- Educational seminars/workshops
AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV