David 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.
David John Ellis, who also goes by Dave Ellis, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2015 - August 20, 2021
VANGUARD ADVISERS, INC.
May 29, 2007 - August 20, 2021
VANGUARD MARKETING CORPORATION
August 1, 2005 - April 24, 2007
WADDELL & REED
May 19, 1987 - December 16, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 19, 1987 - December 16, 1988
EQUITABLE ADVISORS, LLC
July 29, 1986 - June 1, 1987
CABRERA CAPITAL MARKETS, LLC
May 23, 1984 - May 9, 1986
MARQUETTE FINANCIAL GROUP, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
