William K. 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.
William Kevin Ellis was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 14 firms and has passed the Series 63, SIE, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2012 - November 25, 2015
GRANT THORNTON CORPORATE FINANCE, LLC
March 17, 2011 - April 26, 2012
NEXGEN CAPITAL ADVISORS, LLC
February 22, 2011 - October 15, 2012
GARDNER RICH, L.L.C.
June 10, 2010 - July 6, 2015
EQUIBASE CAPITAL MARKETS, LLC
October 14, 2008 - February 15, 2013
OGILVIE SECURITY ADVISORS CORPORATION
August 26, 2005 - February 13, 2006
EQUIBASE CAPITAL MARKETS, LLC
February 6, 2002 - March 29, 2010
GARDNER RICH, L.L.C.
September 8, 2000 - February 28, 2002
KPMG CORPORATE FINANCE LLC
September 24, 1996 - October 7, 1998
FELDMAN SECURITIES GROUP L.L.C.
May 27, 1992 - January 5, 1994
STRIKER SECURITIES, INC.
October 7, 1991 - May 27, 1992
BANC SECURITIES, INC.
June 4, 1991 - January 30, 2003
CONCORD SERVICES L.L.C.
January 18, 1990 - September 22, 2009
ACADEMY SECURITIES, INC.
January 16, 1990 - October 3, 1990
QUADREX SECURITIES CORPORATION
November 16, 1989 - March 4, 1991
HOWE BARNES HOEFER & ARNETT, INC.
December 29, 1983 - June 25, 1986
ROSE & COMPANY INVESTMENT BROKERS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRANT THORNTON CORPORATE FINANCE, LLC
CRD#: 120129 / SEC#: , 8-65264
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.
