Ian Peter Ellis
Professional Summary
Ian Peter Ellis was a registered financial advisor. Ian was a previously registered financial professional and started their career in finance 1985 - 2012. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
MICROCAPITAL LLC | MICROCAPITAL MANAGEMENT LLC
Contact Information
Main Address
500 Post Road East Suite 280, Westport, CT 06880-6143Phone Number
(203) 319-8201Documents
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/31/2022 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 17 — Limited Registered Representative Examination
Passed Oct 1992Series 5 — Interest Rate Options Examination
Passed Feb 1986Series 15 — Foreign Currency Options Examination
Passed Feb 1986Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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