Carlton C. Ellis

CHIMERA WEALTH

Renton, WA

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CRD#: 1371058

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.

Chimera Wealth, LLC/6650 Fair Oaks Boulevard#155, Carmichael, CA 95608/Start Oct 2024/Investment Related/Nature: Wealth Management - Financial Planning, Investment Management, etc./Independent Contractor/Financial Advisor: Servicing Advisor, client relationship experience. Chimera Wealth will primarily handle the financial planning and investment portfolios/25-40 hours per month/10-15 hours during trading hours per month/Duties: Relationship building with prospective and current clients of Chimera Wealth

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.

CRD#: 146870

PLANO, TX

Past

November 20, 2018 - December 9, 2019

LANDOLT SECURITIES, INC.

CRD#: 28352

ANTIOCH, IL

Past

November 25, 2013 - April 15, 2014

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

February 6, 2013 - October 10, 2018

LANDOLT SECURITIES, INC.

CRD#: 28352

ANTIOCH, IL

Past

May 14, 2012 - December 31, 2012

DIMIRAK SECURITIES CORPORATION

CRD#: 150181

VISTA, CA

Past

June 25, 2009 - February 4, 2010

ENERGY HUNTER SECURITIES, INC.

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

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.

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

CRD#: 14667

MERCER ISLAND, WA

Past

May 24, 1996 - November 18, 1996

EQIS SECURITIES, LLC

CRD#: 20633

SAN RAFAEL, CA

Past

June 19, 1985 - June 10, 1996

PRUDENTIAL EQUITY GROUP, LLC

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/30/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/2/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/1996

General Securities Principal Examination

Current Firm

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)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	127
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.

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Firm Stability Insights

Carlton C. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Case Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOBLES & RICHARDS ADVISORS, LLC

NOBLES & RICHARDS, INC.

LANDOLT SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

LANDOLT SECURITIES, INC.

DIMIRAK SECURITIES CORPORATION

ENERGY HUNTER SECURITIES, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

EPLANNING ADVISORS INC

EPLANNING SECURITIES, INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

EQIS SECURITIES, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/2024

Series 63

Date: 7/9/1985

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 9/30/2002

Series 7

Date: 9/2/1999

Series 24

Date: 10/4/1996

Current Firm

CHIMERA WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CHIMERA WEALTH

TRUST BUT VERIFY

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