John M. 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.
John Mitchell Ellis, who also goes by John Michell Ellis, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2012 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
June 3, 1996 - March 18, 1998
EQUITAS AMERICA, LLC
March 23, 1995 - December 13, 1995
TAJ GLOBAL EQUITIES, INC.
June 28, 1990 - October 10, 1990
THE STUART-JAMES COMPANY, INCORPORATED
March 12, 1990 - June 21, 1990
PCI FINANCIAL SERVICES, INC.
October 17, 1989 - August 28, 1991
ANDREW ALEN SECURITIES, INC.
April 26, 1989 - October 17, 1989
ALISON, BAER SECURITIES INC.
October 21, 1988 - April 15, 1989
KOBER FINANCIAL CORP.
July 22, 1987 - November 5, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
