Phillip C. 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.
Phillip Craig Ellis, CFP®, who also goes by Phil Ellis, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1985. Phillip had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
Start date: 2003
Experience
April 16, 2021 - December 31, 2024
GREAT POINT CAPITAL LLC
March 17, 2021 - May 18, 2021
CETERA WEALTH SERVICES, LLC
September 16, 2019 - May 18, 2021
CETERA WEALTH SERVICES, LLC
June 25, 2013 - May 18, 2021
SUMMIT FINANCIAL GROUP INC
July 7, 2008 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
July 14, 2004 - December 19, 2006
FREEDOM FINANCIAL ADVISORS, LLC
March 25, 2002 - July 9, 2008
EMPIRE FINANCIAL GROUP, INC.
October 5, 1994 - May 8, 2002
SUMMIT BROKERAGE SERVICES, INC.
January 24, 1985 - May 10, 1985
A. G. EDWARDS & SONS, 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
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
