Ronald L. 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.
Ronald Lee Ellis was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1987. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 3 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2014 - October 13, 2017
PRIMEX
August 1, 2011 - June 3, 2014
AMERITAS INVESTMENT COMPANY, LLC
October 21, 2008 - July 26, 2011
CAPWEST SECURITIES, INC.
May 31, 2005 - July 26, 2011
CAPWEST SECURITIES, INC.
May 14, 2004 - May 27, 2005
UNITED SECURITIES ALLIANCE, INC.
October 28, 1997 - December 31, 1999
AVANTAX INVESTMENT SERVICES, INC.
August 9, 1995 - November 18, 1997
WMA SECURITIES, INC.
January 17, 1991 - July 27, 1993
OSAIC WEALTH, INC.
June 21, 1990 - December 20, 1990
SOARES FINANCIAL GROUP, INC.
August 24, 1987 - January 11, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 2, 1987 - September 30, 1987
WALL STREET PACIFIC FINANCIAL RESOURCES, 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
PRIMEX
CRD#: 29394 / SEC#: , 8-44331
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANTAGE TRADING LLC | OWNER | |
| FELIX, WILFREDO JR | CEO, CCO, PRINCIPAL, FINOP, DIRECTOR | 2693672 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
