Ellen Shearin

Ellen Shearin is a long-tenured broker-dealer operations and compliance executive in the U.S. securities industry, with roughly three decades of experience concentrated in Southern California. Public professional records associate her most closely with Financial West Group (FWG) — the firm behind the `fwg.com` email in the stub — where she is listed in senior roles including President and Chief Operating Officer. Third-party profiles date a President role at Financial West Group to roughly 2012–2013 and a President/COO role to roughly 2015–2017.

Between those FWG roles, aggregated career records show a stint at Ladenburg Thalmann as Managing Supervisor, Fixed Income (approximately September 2014 – July 2015). From August 2017 to April 2022 she served at Western International Securities as Managing Director / VP of Transitions and Operations, focused on advisor transitions and broker-dealer operational management. Since May 2022 she has been listed as Director, Service and Operations at Mutual Group (affiliated with Mutual Securities, Inc.).

Her registered qualifications — FINRA Series 7 (general securities representative), Series 66 (agent/adviser), Series 24 (general securities principal), and Series 99 (operations professional) — are consistent with a career in broker-dealer supervision, operations, transitions, and fixed-income administration rather than in principal investing. She is registered under CRD #2603576.

Note that most of the granular dates and titles above come from B2B data aggregators (theOrg, Wiza, ContactOut, RocketReach) and self-reported profiles, not primary filings, so specific date ranges should be treated as approximate.

• No investment thesis could be verified. There is no public record of Ellen Shearin making angel or seed-stage startup investments, publishing an investment thesis, or being affiliated with a VC/angel fund.
• Her verifiable professional focus is broker-dealer operations, advisor transitions, supervision/compliance, and fixed-income administration — an operating role inside regulated securities firms, distinct from being an early-stage private-market investor.
• Any check size, target company profile, or sector focus for "seed" investing would be fabricated; those fields are therefore intentionally left blank.