Unclaimed Profile

Sam Ellington

MAINSTREAM INVESTMENT ADVISERS LLC·NEW ALBANY, Indiana

SIE, Series 7, Series 7TO, Series 63, Series 65CFAClean record6 years registeredMAINSTREAM INVESTMENT ADVISERS LLC

101 WEST SPRING STREET, NEW ALBANY, IN 47150CRD# 2827198Firm CRD# 111981

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Sam Ellington · NEW ALBANY, IN

Registration

CRD #2827198 · MAINSTREAM INVESTMENT ADVISERS LLC · 6 years registered

Brand Profile

Not yet started

Career History

ROBERT W. BAIRD & CO. INCORPORATED

Jan 2021 – present

ROBERT W. BAIRD & CO. INCORPORATED

Jun 2020 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 7TO

Series 63

Series 65

Registration record

First registered · June 3, 2020

Years registered · 6

Professional designation · CFA

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MAINSTREAM INVESTMENT ADVISERS LLC

CRD 111981 · SEC 801-54799

AUM

$233M

Regulatory assets under management

Employees

5 client accounts

Services offered by MAINSTREAM INVESTMENT ADVISERS LLC

Per Form ADV

Portfolio management (pooled investments)

Pension consulting

Client types served by the firm

Per Form ADV

Institutional Investors

Pension & Retirement Plans

View all advisors at MAINSTREAM INVESTMENT ADVISERS LLC →

Introduction

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Frequently Asked Questions

What services does Sam Ellington offer?

Sam Ellington specializes in Investment Management, Retirement Planning. Contact their office in NEW ALBANY, Indiana for a consultation.

What are Sam Ellington's credentials?

Sam Ellington holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Sam Ellington located?

Sam Ellington is based in NEW ALBANY, Indiana, working with MAINSTREAM INVESTMENT ADVISERS LLC. Their office serves clients in the NEW ALBANY metropolitan area and surrounding communities.

How does Sam Ellington charge for services?

Sam Ellington's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MAINSTREAM INVESTMENT ADVISERS LLC?

MAINSTREAM INVESTMENT ADVISERS LLC has approximately 8 employees and manages $233M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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