Unclaimed Profile

Ellen Beth Roberts

DANA INVESTMENT ADVISORS INC·WAUKESHA, Wisconsin

Series 7, Series 63, Series 65Clean record21 years registeredDANA INVESTMENT ADVISORS INC

20700 SWENSON DRIVE, SUITE 400, WAUKESHA, WI 53186-0904CRD# 3082153Firm CRD# 105879

Profile Verification

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

Identity

Ellen Beth Roberts · WAUKESHA, WI

Registration

CRD #3082153 · DANA INVESTMENT ADVISORS INC · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DANA INVESTMENT ADVISORS INC

DANA INVESTMENT ADVISORS INC

Oct 2008 – May 2023

WAUKESHA, WI

RBC DAIN RAUSCHER INC.

Jul 2006 – Feb 2007

MILWAUKEE, WI

B. C. ZIEGLER AND COMPANY

Mar 2005 – Mar 2005

MILWAUKEE, WI

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · March 8, 2005

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DANA INVESTMENT ADVISORS INC

CRD 105879 · SEC 801-14828

AUM

$4.5B

Regulatory assets under management

Employees

3,327 client accounts

Services offered by DANA INVESTMENT ADVISORS INC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

View all advisors at DANA INVESTMENT ADVISORS INC →

Introduction

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Frequently Asked Questions

What services does Ellen Beth Roberts offer?

Ellen Beth Roberts specializes in Investment Management, Wealth Management.

What are Ellen Beth Roberts's credentials?

Ellen Beth Roberts is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ellen Beth Roberts located?

Ellen Beth Roberts is based in WAUKESHA, Wisconsin, last registered with DANA INVESTMENT ADVISORS INC.

How does Ellen Beth Roberts charge for services?

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

How large is DANA INVESTMENT ADVISORS INC?

DANA INVESTMENT ADVISORS INC has approximately 61 employees and manages $4.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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