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Robert S. Ellis

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CRD#: 1088391
RE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Stephen Ellis was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 13 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 31, 2009 - April 14, 2010

PROFESSIONAL ASSET MANAGEMENT, INC.

BD
CRD#: 21125
TROY, MI
Past

March 22, 2005 - September 21, 2007

BROADSTONE SECURITIES

BD
CRD#: 101600
ALBANY, NY
Past

March 24, 2003 - March 3, 2004

LEONARD & COMPANY

BD
CRD#: 36527
TROY, MI
Past

May 7, 1998 - March 27, 2003

BROAD STREET SECURITIES, INC.

BD
CRD#: 36101
PLANTATION, FL
Past

September 1, 1995 - April 2, 1998

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

June 5, 1995 - August 21, 1995

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

March 16, 1993 - June 5, 1995

G.R. STUART & COMPANY, INC.

BD
CRD#: 29101
MAYNARD, MA
Past

April 2, 1992 - March 16, 1993

FINANCIAL SECURITIES NETWORK,INC.

BD
CRD#: 16153
Past

August 29, 1989 - June 13, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 15, 1988 - May 21, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

February 12, 1988 - September 5, 1989

FIRST OF MICHIGAN CORPORATION

BD
CRD#: 311
DETROIT, MI
Past

May 16, 1984 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

January 19, 1983 - November 1, 1983

H. B. SHAINE & CO., INC.

BD
CRD#: 374

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/28/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/1983
General Securities Representative Examination

Current Firm

PA
PROFESSIONAL ASSET MANAGEMENT, INC.
PROFESSIONAL ASSET MANAGEMENT, INC.

CRD#: 21125 / SEC#: , 8-38813

BD
Terminated by SEC on 10/28/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 09/10/1987
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FLAM, JOAN EDWINAMO/CORP. SEC.719351
JOHNSON, PETER CHARLESPRESIDENT/TREASURER/CCO854653

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

PROFESSIONAL ASSET MANAGEMENT, INC.

CRD#: 21125

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