William R. Ellis
Professional summary
William Roderick Ellis, who also goes by William Roderick Ellis, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 2001. William has worked at 7 firms and has passed the Series 63, Series 99TO, Series 6TO, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Roderick Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2023 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262September 10, 2019 - May 23, 2023
CHARLES SCHWAB & CO., INC.
April 5, 2018 - May 10, 2019
ALIGHT FINANCIAL SOLUTIONS, LLC
March 25, 2017 - November 14, 2017
MML INVESTORS SERVICES, LLC
June 6, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
June 2, 2003 - January 13, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 4, 2001 - March 3, 2003
FORESTERS EQUITY SERVICES, 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
Series 99TO
Date: 11/29/2023
Operations Professional ExaminationSeries 6TO
Date: 11/24/2023
Investment Company Products/Variable Contracts Representative ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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