John R. Ellis
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.
John Ramsay Ellis, who also goes by John Ramsay Ellis, John Ramsey Ellis, Ramsay John Ellis, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2023 - November 6, 2025
MML INVESTORS SERVICES, LLC
August 10, 2023 - November 6, 2025
MML INVESTORS SERVICES, LLC
May 18, 2022 - August 22, 2023
LPL FINANCIAL LLC
May 18, 2022 - August 22, 2023
LPL FINANCIAL LLC
January 9, 2008 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
January 3, 2008 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
September 20, 2006 - December 3, 2007
ZIONS DIRECT, INC.
December 16, 2005 - June 14, 2006
BRIGHTON PRESIDIO CAPITAL MANAGEMENT
April 15, 2004 - November 18, 2005
RAYMOND JAMES & ASSOCIATES, INC.
March 19, 2004 - November 18, 2005
RAYMOND JAMES & ASSOCIATES, INC.
July 20, 2000 - April 2, 2004
CITIGROUP GLOBAL MARKETS INC.
July 20, 2000 - April 2, 2004
CITIGROUP GLOBAL MARKETS INC.
May 9, 1986 - July 28, 2000
FIDELITY BROKERAGE SERVICES LLC
April 2, 1986 - April 24, 1986
FIDELITY BROKERAGE SERVICES LLC
April 23, 1985 - April 10, 1986
DOMIK CORP.
January 26, 1983 - February 25, 1985
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/27/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
