Morris J. 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.
Morris James Ellis, who also goes by James Ellis, Jim Ellis, M. James Ellis, was a registered financial professional .
Morris is a previously registered financial professional and started their career in finance in 1984. Morris had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2017 - October 18, 2017
JOHN D. DOVICH & ASSOCIATES, LLC
September 30, 2015 - August 18, 2016
MSI FINANCIAL SERVICES, INC.
September 17, 2015 - August 18, 2016
MSI FINANCIAL SERVICES, INC.
February 9, 2007 - May 6, 2015
UBS FINANCIAL SERVICES INC.
February 9, 2007 - May 6, 2015
UBS FINANCIAL SERVICES INC.
October 18, 1999 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
October 4, 1991 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
January 11, 1985 - October 4, 1991
GRADISON & COMPANY INCORPORATED
February 24, 1984 - December 14, 1984
ADVEST, INC.
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
Current Firm
JOHN D. DOVICH & ASSOCIATES, LLC
CRD#: 120458 / SEC#: 801-62184
Contact information
Red Flags
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