Karolina Ellis is a ChFC-designated registered investment advisor, based in Richmond, VA, with 10 years of industry experience. Karolina is also registered as a broker, so some compensation may come from commissions on products sold.
Location
800 E Canal St, St 950, Richmond, VA, 23219
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Karolina owns rental property since 2021, but has hired a property management company to handle day-to-day tasks, requiring minimal time. This activity is not investment-related.
Employment History
Current Registrations
Cetera Wealth Services, LLC
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Securian Financial Services, INC.
Securian Financial Services, INC.Broker
Northwestern Mutual Investment Services, LLCBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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