Joseph O. Ellis

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CRD#: 1636510

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.

Joseph Ode Ellis IV, who also goes by Jay Ellis IV, Jay Ellis, Joseph Odf Ellis Iv, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jay Ellis Iv | Jay Ellis | Joseph Odf Ellis Iv

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 3, 2024 - February 13, 2025

AMERICANA PARTNERS, LLC

RIA

CRD#: 301354

Dallas, TX

Past

April 2, 2007 - June 6, 2012

MORGAN STANLEY & CO. LLC

CRD#: 8209

DALLAS, TX

Past

February 12, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

DALLAS, TX

Past

March 2, 2000 - February 14, 2007

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

DALLAS, TX

Past

September 1, 1997 - February 29, 2000

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

January 14, 1994 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

June 6, 1989 - December 10, 1993

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

May 11, 1987 - May 31, 1989

YOUNG, SMITH & PEACOCK, INC.

CRD#: 913

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".

AMERICANA PARTNERS, LLC

AMERICANA PARTNERS INTERNATIONAL, LLC | NRG ADVISORS, LLC | AMERICANA PARTNERS, LLC

CRD#: 301354 / SEC#: 801-115018

RIA

Registered Investment Advisory firm - (4/17/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/1/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/23/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/5/2007

General Securities Sales Supervisor - Options Module Examination

Current Firm

AMERICANA PARTNERS, LLC

AMERICANA PARTNERS INTERNATIONAL, LLC | NRG ADVISORS, LLC | AMERICANA PARTNERS, LLC

CRD#: 301354 / SEC#: 801-115018

RIA

Registered Investment Advisory firm - (4/17/2019 Approved)

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Contact information

Main Address

811 Louisiana Street Suite 2420, Houston, TX 77002

Mailing Address

Phone number

(713) 429-5552

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR AMERICANA PARTNERS, LLC (6/18/2025)

Regulatory assets under management

Total Number of Accounts	5,931
AUM (Assets Under Management)	$ 6,082,612,320

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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Advisor Monitoring

Firm Stability Insights

Joseph O. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

CREDIT SUISSE SECURITIES (USA) LLC

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

YOUNG, SMITH & PEACOCK, INC.

Primary Firm SEC Registration

AMERICANA PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/2024

Series 63

Date: 5/21/1987

Series 7

Date: 4/25/1987

Series 10

Date: 7/23/2007

Series 9

Date: 6/5/2007

Current Firm

AMERICANA PARTNERS, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICANA PARTNERS, LLC

TRUST BUT VERIFY

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