AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CE

Carlton C. Ellis

CHIMERA WEALTH
Renton, WA
Some features on this profile are disabled
CRD#: 1371058
CE

Professional summary

Carlton Case Ellis, who also goes by Casey Ellis, is a registered financial advisor currently at CHIMERA WEALTH located in Renton, Washington.

Carlton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Carlton has worked at 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Casey Ellis

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Case Ellis's 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

November 13, 2024 - Present

CHIMERA WEALTH

RIA
CRD#: 311674
Renton, WA
Past

May 2, 2024 - March 26, 2025

NOBLES & RICHARDS ADVISORS, LLC

RIA
CRD#: 281539
Renton, WA
Past

December 9, 2021 - February 12, 2025

NOBLES & RICHARDS, INC.

BD
CRD#: 146870
PLANO, TX
Past

November 20, 2018 - December 9, 2019

LANDOLT SECURITIES, INC.

BD
CRD#: 28352
ANTIOCH, IL
Past

November 25, 2013 - April 15, 2014

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

February 6, 2013 - October 10, 2018

LANDOLT SECURITIES, INC.

BD
CRD#: 28352
ANTIOCH, IL
Past

May 14, 2012 - December 31, 2012

DIMIRAK SECURITIES CORPORATION

BD
CRD#: 150181
VISTA, CA
Past

June 25, 2009 - February 4, 2010

ENERGY HUNTER SECURITIES, INC.

BD
CRD#: 131510
HOUSTON, TX
Past

December 12, 2008 - May 24, 2010

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
CAMARILLO, CA
Past

December 12, 2008 - May 24, 2010

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
CAMARILLO, CA
Past

June 29, 2007 - December 11, 2008

EPLANNING ADVISORS INC

RIA
CRD#: 109184
ROSEVILLE, CA
Past

June 29, 2007 - December 11, 2008

EPLANNING SECURITIES, INC.

BD
CRD#: 46000
MERCER ISLAND, WA
Past

March 1, 2000 - June 29, 2007

BROOKSTREET SECURITIES CORPORATION

RIA
CRD#: 14667
MERCER ISLAND, WA
Past

December 3, 1996 - June 29, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
MERCER ISLAND, WA
Past

May 24, 1996 - November 18, 1996

EQIS SECURITIES, LLC

BD
CRD#: 20633
SAN RAFAEL, CA
Past

June 19, 1985 - June 10, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Washington
(11/13/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/12/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/9/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/30/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/4/1996
General Securities Principal Examination

Current Firm

CW
CHIMERA WEALTH
CHIMERA WEALTH | CHIMERA WEALTH LLC

CRD#: 311674 / SEC#:

California
Registered Investment Advisory firm - (12/22/2020 Approved)
Texas
Registered Investment Advisory firm - (1/27/2022 Conditional Restricted)
Washington
Registered Investment Advisory firm - (4/21/2021 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Gold River, CA
Mailing Address
6650 Fair Oaks Blvd #155, Carmichael, CA 95608
Phone number
(707) 582-0007
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts127
AUM (Assets Under Management)$ 10,906,612

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.

Company Information

CHIMERA WEALTH

CRD#: 311674Renton, WA

TRUST BUT VERIFY

Monitor Carlton Ellis

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.