Thomas N. Ellis

WASHINGTON TRUST ADVISORS

NEW HAVEN, CT 06510

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CRD#: 1489242

Professional summary

Thomas Nelson Ellis JR, who also goes by Thomas Nelson Ellis, is a registered financial advisor currently at WASHINGTON TRUST ADVISORS located in New Haven, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Thomas has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Nelson 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 Thomas Nelson Ellis JR's CRS (Customer Relationship Summary).

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

September 15, 2021 - Present

WASHINGTON TRUST ADVISORS

Office #1: 265 Church Street Suite 1006, New Haven, CT 06510

RIA

CRD#: 110407

NEW HAVEN, CT

Past

September 11, 2015 - October 1, 2019

HALSEY ASSOCIATES

RIA

CRD#: 281212

NEW HAVEN, CT

Past

December 7, 2010 - October 1, 2015

HALSEY ASSOCIATES INC

RIA

CRD#: 108301

NEW HAVEN, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WASHINGTON TRUST ADVISORS

CRD#: 110407 / SEC#: 801-18403

RIA

Registered Investment Advisory firm - (2/11/1983 Approved)

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

California
(11/28/2023)

IAR

Connecticut
(9/15/2021)

IAR

Florida
(1/27/2022)

IAR

Maine
(2/28/2022)

IAR

New York
(1/3/2022)

IAR

Rhode Island
(1/5/2022)

IAR

Virginia
(1/3/2022)

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: 12/6/2010

Uniform Investment Adviser Law Examination

Current Firm

WASHINGTON TRUST ADVISORS

CRD#: 110407 / SEC#: 801-18403

RIA

Registered Investment Advisory firm - (2/11/1983 Approved)

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Contact information

Main Address

20 William St Suite 135, Wellesley, MA 02481

Mailing Address

Phone number

(781) 235-7055

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WASHINGTON TRUST ADVISOR'S FORM PART 2A (9/3/2025)

WASHINGTON TRUST ADVISOR'S FORM PART 2B (9/3/2025)

Regulatory assets under management

Total Number of Accounts	1,356
AUM (Assets Under Management)	$ 1,999,516,447

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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Thomas N. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Nelson Ellis JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WASHINGTON TRUST ADVISORS

HALSEY ASSOCIATES

HALSEY ASSOCIATES INC

Primary Firm SEC Registration

WASHINGTON TRUST ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2010

Current Firm

WASHINGTON TRUST ADVISORS

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WASHINGTON TRUST ADVISORS

TRUST BUT VERIFY

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