Gregory C. Ellms

OASIS WEALTH PLANNING ADVISORS

Wellesley, MA

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CRD#: 1314767

Professional summary

Gregory Curtis Ellms, who also goes by Greg Ellms, Gregory C Ellms, is a registered financial advisor currently at OASIS WEALTH PLANNING ADVISORS located in Wellesley, Massachusetts.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Gregory has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 8 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Ellms | Gregory C Ellms

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.

C. E. Holman Limited Partnership, Grindle, Robinson & Goodhue & Frolin, 40 Grove St., Wellesley MA 02482, United States, 06/29/2023, Secretary, Board Member, NIR, 3 HR/MO - 0 HR/MO TRADING - Family owned Limited Partnership comprised of commercial property in Wellesley, MA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Curtis Ellms'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 7, 2025 - Present

OASIS WEALTH PLANNING ADVISORS

RIA

CRD#: 285474

Wellesley, MA

Past

October 15, 2024 - February 10, 2025

COPPER BEECH WEALTH MANAGEMENT

RIA

CRD#: 321059

MANSFIELD, MA

Past

October 3, 2023 - November 3, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Burlington, MA

Past

February 25, 2020 - August 24, 2020

ALGORITHMIC INVESTMENT MODELS

RIA

CRD#: 306354

NEEDHAM, MA

Past

June 30, 2015 - May 8, 2019

WELLESLEY ASSET MANAGEMENT, INC.

RIA

CRD#: 116176

WELLESLEY, MA

Past

March 24, 1993 - April 28, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

CHESTNUT HILL, MA

Past

June 12, 1986 - March 12, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

December 6, 1984 - August 20, 1985

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

OASIS WEALTH PLANNING ADVISORS

OASIS WEALTH PLANNING ADVISORS | OASIS WEALTH PLANNING ADVISORS, LLC

CRD#: 285474 / SEC#: 801-130696

RIA

Registered Investment Advisory firm - (7/16/2024 Approved)

Alabama

Registered Investment Advisory firm - (8/1/2024 Terminated)

Florida

Registered Investment Advisory firm - (8/1/2024 Terminated)

Georgia

Registered Investment Advisory firm - (8/9/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (8/1/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/1/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Massachusetts
(5/7/2025)

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: 6/18/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/3/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/28/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/4/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/24/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 39

Date: 12/5/1988

Direct Participation Programs Principal Examination

Current Firm

OASIS WEALTH PLANNING ADVISORS

OASIS WEALTH PLANNING ADVISORS | OASIS WEALTH PLANNING ADVISORS, LLC

CRD#: 285474 / SEC#: 801-130696

RIA

Registered Investment Advisory firm - (7/16/2024 Approved)

Alabama

Registered Investment Advisory firm - (8/1/2024 Terminated)

Florida

Registered Investment Advisory firm - (8/1/2024 Terminated)

Georgia

Registered Investment Advisory firm - (8/9/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (8/1/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/1/2024 Terminated)

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Contact information

Main Address

Nashville, TN

Mailing Address

Phone number

(615) 933-3314

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OASIS WEALTH PLANNING ADV PART 2A ANNUAL AMENDMENT 03.25.25 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	819
AUM (Assets Under Management)	$ 267,819,448

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.

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Gregory C. Ellms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Curtis Ellms's CRS (Customer Relationship Summary).

Certified licenses

Experience

COPPER BEECH WEALTH MANAGEMENT

CAMBRIDGE INVESTMENT RESEARCH, INC.

ALGORITHMIC INVESTMENT MODELS

WELLESLEY ASSET MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

NEW ENGLAND SECURITIES

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OASIS WEALTH PLANNING ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/18/2015

Series 63

Date: 12/13/1984

Series 7TO

Date: 10/3/2023

SIE

Date: 4/28/2015

Series 7

Date: 5/21/1988

Series 6

Date: 12/4/1984

Series 8

Date: 5/24/1994

Series 39

Date: 12/5/1988

Current Firm

OASIS WEALTH PLANNING ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OASIS WEALTH PLANNING ADVISORS

TRUST BUT VERIFY

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