Donald H. Ellison

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CRD#: 1925688

Professional summary

Donald Henderson Ellison was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Donald had worked at 12 firms, which includes SOUTHRIDGE INVESTMENT GROUP LLC, MSC - BD LLC, QA3 FINANCIAL CORP., CONCOURSE FINANCIAL GROUP SECURITIES INC., ALLIANZ LIFE FINANCIAL SERVICES LLC, NYLIFE SECURITIES LLC, MIRAMAR SECURITIES LLC, BBVA COMPASS INVESTMENT SOLUTIONS INC, IFMG SECURITIES INC., WALL STREET ACCESS, BARNETT INVESTMENTS INC., THE ROBINSON-HUMPHREY COMPANY LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Don Ellison

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

May 25, 2011 - September 15, 2011

SOUTHRIDGE INVESTMENT GROUP LLC

CRD#: 45531

RIDGEFIELD, CT

Past

September 29, 2009 - August 24, 2010

SOUTHRIDGE INVESTMENT GROUP LLC

CRD#: 45531

RIDGEFIELD, CT

Past

October 8, 2008 - January 27, 2009

MSC - BD, LLC

CRD#: 142927

LAKE OSWEGO, OR

Past

May 7, 2007 - September 12, 2008

QA3 FINANCIAL CORP.

CRD#: 14754

ATLANTA, GA

Past

June 21, 2006 - December 15, 2006

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

SUGAR LAND, TX

Past

August 8, 2001 - July 19, 2004

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

July 27, 1999 - May 31, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

November 18, 1997 - April 26, 1999

MIRAMAR SECURITIES, LLC

CRD#: 37955

ALPHARETTA, GA

Past

June 19, 1996 - January 20, 1997

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

August 16, 1995 - April 24, 1996

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

May 17, 1994 - August 23, 1995

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

April 4, 1989 - May 2, 1994

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

March 21, 1989 - April 20, 1989

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

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.

Exams

State Security Law Exam

Series 63

Date: 5/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/14/1994

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/11/1993

General Securities Principal Examination

Current Firm

SOUTHRIDGE INVESTMENT GROUP LLC

GREENFIELD CAPITAL PARTNERS LLC | SOUTHRIDGE INVESTMENT GROUP LLC

CRD#: 45531 / SEC#: , 8-51079

Terminated by SEC on 11/22/2011

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 02/25/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SOUTHRIDGE (NY) LLC	MEMBER
SARGENT, HENRY BARRY	CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event	1
Arbitration	1

Red Flags

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Firm Stability Insights

Donald H. Ellison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOUTHRIDGE INVESTMENT GROUP LLC

MSC - BD, LLC

QA3 FINANCIAL CORP.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

NYLIFE SECURITIES LLC

MIRAMAR SECURITIES, LLC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

IFMG SECURITIES, INC.

WALL STREET ACCESS

BARNETT INVESTMENTS, INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/1991

Series 7

Date: 3/18/1989

Series 53

Date: 3/14/1994

Series 24

Date: 5/11/1993

Current Firm

SOUTHRIDGE INVESTMENT GROUP LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHRIDGE INVESTMENT GROUP LLC

TRUST BUT VERIFY

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