John David Ellis
Professional Summary
John David Ellis is a registered financial advisor currently at CEROS FINANCIAL SERVICES, INC. located in Warner Robins, Georgia. John is registered as a RR (Registered Representative) and started their career in finance in 1984. John has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
Years of Experience
42 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
Current Firm
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS
Contact Information
Main Address
2273 Research Blvd Suite 350, Rockville, MD 20850Mailing Address
2273 Research Blvd Suite 350, Rockville, MD 20850Phone Number
(866) 842-3356Established
Massachusetts since 09/30/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
5Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(8/28/2009)
(8/28/2009)
(10/11/2019)
(10/28/2019)
(8/28/2009)
(8/28/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view John David Ellis's CRS (Customer Relationship Summary).
Similar Advisors
THE WEALTH CONSULTING GROUP
MORGAN STANLEY
ACT ADVISORS
OCCIDENTAL ASSET MANAGEMENT, LLC