Stephen W. 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.
Stephen William Ellis was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 4 firms and has passed the Series 63, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2001 - February 1, 2002
INTER-DEALER BROKERS LLC
December 24, 1992 - July 22, 1999
DBC SECURITIES, INC.
January 29, 1988 - March 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 1986 - November 11, 1987
PRINTON, KANE GOVERNMENT SECURITIES, INC.
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
Current Firm
INTER-DEALER BROKERS LLC
CRD#: 45502 / SEC#: , 8-51083
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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