Marvin O. 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.
Marvin Orson Ellis, who also goes by Marvin Ellis, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1984. Marvin had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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
January 2, 2009 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 29, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 29, 2005 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 11, 1990 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
October 11, 1990 - August 3, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 6, 1987 - July 27, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 10, 1986 - January 20, 1987
CONSOLIDATED INVESTMENT SERVICES, INC.
March 26, 1984 - April 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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: 6/12/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
