John A. 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 Andrew Ellis was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 9 firms and has passed the Series 63 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
July 19, 1989 - April 18, 1990
BRENNAN ROSS SECURITIES, INC.
November 29, 1988 - July 26, 1989
WELLSHIRE SECURITIES, INC.
January 4, 1988 - July 15, 1988
GREENTREE SECURITIES CORP.
February 4, 1987 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
March 21, 1986 - January 21, 1987
BLINDER, ROBINSON & CO., INC.
November 11, 1985 - March 26, 1986
PRUDENTIAL EQUITY GROUP, LLC
August 22, 1984 - December 4, 1985
CIBC WORLD MARKETS CORP.
May 7, 1984 - August 21, 1984
BLACKSTOCK & CO., INC.
April 5, 1984 - February 25, 1985
COMSTOCK INVESTMENTS, 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
BRENNAN ROSS SECURITIES, INC.
CRD#: 18363 / SEC#: , 8-36546
Contact information
Documents
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.
