John D. Ellis
Professional summary
John David Ellis is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John David Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 28, 2009 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 300 Corporate Pointe, Warner Robins, GA 31088November 19, 2004 - August 31, 2009
GUGGENHEIM DISTRIBUTORS, LLC
May 16, 1988 - November 19, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 19, 1987 - May 17, 1988
EDWARD JONES
December 20, 1984 - January 27, 1986
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/28/2009)
(8/28/2009)
(10/11/2019)
(10/28/2019)
(8/28/2009)
(8/28/2009)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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