Ian P. 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.
Ian Peter Ellis was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1985. Ian had worked at 5 firms and has passed the Series 65, Series 63, Series 17, Series 3, Series 5, Series 15 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
Experience
June 22, 2009 - April 9, 2012
MICROCAPITAL LLC
July 24, 2001 - January 12, 2006
MICROCAPITAL LLC
April 11, 1995 - November 4, 1996
LEHMAN BROTHERS INC.
June 29, 1993 - March 29, 1995
SALOMON BROTHERS INC.
August 17, 1989 - January 17, 1990
PRESCOTT, BALL & TURBEN, INC.
December 17, 1985 - June 27, 1989
GOLDMAN SACHS & CO. LLC
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
Series 17
Date: 10/17/1992
Limited Registered Representative ExaminationSeries 5
Date: 2/14/1986
Interest Rate Options ExaminationSeries 15
Date: 2/10/1986
Foreign Currency Options ExaminationCurrent Firm
MICROCAPITAL LLC
CRD#: 136165 / SEC#: 802-75068
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/31/2022 |
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.
