Nicholas M. Ellis

KESTRA ADVISORY SERVICES

Tustin , CA 92780

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CRD#: 1082891

Professional summary

Nicholas Mark Ellis is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Tustin , California and KESTRA INVESTMENT SERVICES, LLC located in Tustin , California.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Nicholas has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Bus Name: ELLIS ADVISORY GROUP POSITION: President NATURE: Tax/Accounting/CPA INVESTMENT RELATED: Yes, # OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 02/06/2025 ADDRESS: 14841 Yorba Street, Suite 101, Tustin CA 92780, United States DESCRIPTION: Prepare tax returns. Bus Name: DYNAMIC INVESTMENT STRATEGIES, INC POSITION: President NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No, # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/06/2025 ADDRESS: 14841 Yorba Street, Suite 101, Tustin CA 92780, United States DESCRIPTION: Prepare tax returns

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Mark Ellis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 12, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 14841 Yorba St Suite 101, Tustin , CA 92780

RIA

CRD#: 283330

Tustin , CA

Current

February 12, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 14841 Yorba St Suite 101, Tustin , CA 92780

CRD#: 42046

Tustin , CA

Past

April 9, 2013 - February 11, 2025

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

TUSTIN, CA

Past

August 10, 2000 - February 11, 2025

CENTAURUS FINANCIAL, INC.

CRD#: 30833

TUSTIN, CA

Past

May 25, 1995 - August 4, 2000

STANDARD INVESTMENT CHARTERED INCORPORATED

CRD#: 23505

NEWPORT BEACH, CA

Past

September 7, 1993 - May 18, 1995

ROBERT SCOTT SECURITIES, INC.

CRD#: 28180

Past

May 8, 1992 - September 8, 1993

CORPORATE BENEFIT SECURITIES, INC.

CRD#: 13975

MISSION VIEJO, CA

Past

May 26, 1983 - May 6, 1992

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/12/2025)

Arkansas
(2/12/2025)

IAR

California
(2/12/2025)

California
(2/25/2025)

Colorado
(2/12/2025)

Idaho
(2/12/2025)

Illinois
(8/13/2025)

Kansas
(2/12/2025)

Nevada
(3/31/2025)

New York
(10/14/2025)

North Carolina
(2/27/2025)

Ohio
(2/12/2025)

Pennsylvania
(2/13/2025)

Utah
(2/12/2025)

Virginia
(2/12/2025)

Washington
(2/12/2025)

Wisconsin
(7/28/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nicholas M. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Mark Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

STANDARD INVESTMENT CHARTERED INCORPORATED

ROBERT SCOTT SECURITIES, INC.

CORPORATE BENEFIT SECURITIES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/1992

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1983

Series 24

Date: 7/30/2002

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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