James P. Ellerson

THE ELLERSON GROUP

Annapolis, MD 21403

Some features on this profile are disabled

CRD#: 1105629

Professional summary

James Patteson Ellerson, who also goes by James Patteson Ellerson Jr, is a registered financial advisor currently at THE ELLERSON GROUP INC located in Annapolis, Maryland.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Patteson Ellerson Jr

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.

TRUSTEE OF FAMILY TRUSTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patteson Ellerson'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

May 24, 2022 - Present

THE ELLERSON GROUP INC

Office #1: 415 Fourth Street Suite 101, Annapolis, MD 21403

RIA

CRD#: 106658

Annapolis, MD

Past

April 21, 1997 - July 3, 2000

FIRST DOMINION CAPITAL CORP.

CRD#: 16330

RICHMOND, VA

Past

May 25, 1983 - March 3, 1995

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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".

THE ELLERSON GROUP INC

CRD#: 106658 / SEC#: 801-48299

RIA

Registered Investment Advisory firm - (2/21/1995 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(5/24/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/22/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Current Firm

THE ELLERSON GROUP INC

CRD#: 106658 / SEC#: 801-48299

RIA

Registered Investment Advisory firm - (2/21/1995 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

415 Fourth Street Suite 101, Annapolis, MD 21403

Mailing Address

Phone number

(410) 280-3103

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE ELLERSON GROUP, INC. (2/27/2025)

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 261,058,430

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.

Similar Advisors

Sheldon Andre

PROTRADE SECURITIES, LLC

Nicholas Hagan

PNC WEALTH MANAGEMENT LLC

IAR

Lodi, CA

John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James P. Ellerson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patteson Ellerson's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE ELLERSON GROUP INC

FIRST DOMINION CAPITAL CORP.

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

THE ELLERSON GROUP INC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/1994

Series 63

Date: 6/14/1983

Series 7

Date: 5/21/1983

Current Firm

THE ELLERSON GROUP INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE ELLERSON GROUP INC

TRUST BUT VERIFY

Similar Advisors