Amzi J. Ellington
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.
Amzi Jefferson Ellington III, who also goes by Duke Ellington, Jeff Ellington III, Jeff Ellington, was a registered financial professional .
Amzi is a previously registered financial professional and started their career in finance in 1987. Amzi had worked at 14 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2008 - October 18, 2014
TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.
July 16, 2007 - March 31, 2008
KESTRA INVESTMENT SERVICES, LLC
August 18, 2006 - March 30, 2007
CETERA WEALTH SERVICES, LLC
October 23, 2003 - May 20, 2005
CAPITAL INVESTMENT GROUP, INC.
March 21, 2002 - October 27, 2003
BLUE VASE SECURITIES, LLC
November 6, 2001 - February 26, 2002
ALLSTATE FINANCIAL SERVICES, LLC
January 25, 2001 - November 8, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 27, 2000 - January 29, 2001
EQUITY SERVICES, INC.
April 20, 2000 - June 5, 2000
WALNUT STREET SECURITIES, INC.
November 19, 1997 - April 17, 2000
KESTRA INVESTMENT SERVICES, LLC
June 24, 1992 - November 25, 1997
WOODBURY FINANCIAL SERVICES, INC.
May 1, 1992 - May 29, 1992
IFG NETWORK SECURITIES, INC.
December 22, 1989 - May 21, 1992
DERAND/PENNINGTON/BASS, INC.
March 2, 1988 - December 14, 1989
SECURIAN FINANCIAL SERVICES, INC.
May 27, 1987 - March 14, 1988
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.
CRD#: 146778 / SEC#: 801-110232
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
TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.
CRD#: 146778 / SEC#: 801-110232
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 223 |
| AUM (Assets Under Management) | $ 114,522,333 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 02/28/2024 |
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.
