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JE

John R. Ellis

ALDEN INVESTMENT GROUP
Houston, TX
Some features on this profile are disabled
CRD#: 1089311
JE
John Ramsay EllisALDEN INVESTMENT GROUP

Professional summary

John Ramsay Ellis, who also goes by John Ramsay Ellis, John Ramsey Ellis, Ramsay John Ellis, is a registered financial advisor currently at ALDEN INVESTMENT GROUP located in Houston, Texas and J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.

Aliases

John Ramsay Ellis | John Ramsey Ellis | Ramsay John Ellis

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) - RIA

Click below to view John Ramsay 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

June 26, 2026 - Present

ALDEN INVESTMENT GROUP

RIA
CRD#: 317077
Houston, TX
Current

June 26, 2026 - Present

J. ALDEN ASSOCIATES, INC.

Office #1: 37 West Ave Suite 301, Wayne, PA 19087
BD
CRD#: 40002
WAYNE, PA
Past

August 11, 2023 - November 6, 2025

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
Houston, TX
Past

August 10, 2023 - November 6, 2025

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Houston, TX
Past

May 18, 2022 - August 22, 2023

LPL FINANCIAL LLC

RIA
CRD#: 6413
HOUSTON, TX
Past

May 18, 2022 - August 22, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
HOUSTON, TX
Past

January 9, 2008 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
HOUSTON, TX
Past

January 3, 2008 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
HOUSTON, TX
Past

September 20, 2006 - December 3, 2007

ZIONS DIRECT, INC.

BD
CRD#: 17776
HOUSTON, TX
Past

December 16, 2005 - June 14, 2006

BRIGHTON PRESIDIO CAPITAL MANAGEMENT

RIA
CRD#: 131402
HOUSTON, TX
Past

April 15, 2004 - November 18, 2005

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
HOUSTON, TX
Past

March 19, 2004 - November 18, 2005

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 20, 2000 - April 2, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
HOUSTON, TX
Past

July 20, 2000 - April 2, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 9, 1986 - July 28, 2000

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

April 2, 1986 - April 24, 1986

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
Past

April 23, 1985 - April 10, 1986

DOMIK CORP.

BD
CRD#: 223
Past

January 26, 1983 - February 25, 1985

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

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".
AI
ALDEN INVESTMENT GROUP
ALDEN INVESTMENT ADVISORS | PROTEA WEALTH MANAGEMENT | PATHWAYS RETIREMENT ADVISORS | NORTH PARK | MONUMENTAL INVESTMENTS | HALLTHORN ADVISORY SERVICES | GIPSON - FITZPATRICK INVESTMENT MANAGEMENT | COVE WEALTH PARTNERS | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN INVESTMENT ADVISORS, LLC

CRD#: 317077 / SEC#: 801-122688

RIA
Registered Investment Advisory firm - (11/12/2021 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.
RR
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

RR
New Mexico
(6/26/2026)
RR
Texas
(6/26/2026)
IAR
Texas
(6/26/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/2/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/15/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/21/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/27/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

AI
ALDEN INVESTMENT GROUP
ALDEN INVESTMENT ADVISORS | PROTEA WEALTH MANAGEMENT | PATHWAYS RETIREMENT ADVISORS | NORTH PARK | MONUMENTAL INVESTMENTS | HALLTHORN ADVISORY SERVICES | GIPSON - FITZPATRICK INVESTMENT MANAGEMENT | COVE WEALTH PARTNERS | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN INVESTMENT ADVISORS, LLC

CRD#: 317077 / SEC#: 801-122688

RIA
Registered Investment Advisory firm - (11/12/2021 Approved)
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Contact information

Main Address
37 West Avenue Suite 301, Wayne, PA 19087-3226
Mailing Address
Phone number
(215) 572-8700
Established
Firm type
Fiscal year end
# of Employees
45

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/7/2025)

Regulatory assets under management

Total Number of Accounts978
AUM (Assets Under Management)$ 319,233,679

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

ALDEN INVESTMENT GROUP

CRD#: 317077Houston, TX

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