Brewster M. Ellis

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CRD#: 200295

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.

Brewster Mcewan Ellis was a registered financial professional .

Brewster is a previously registered financial professional and started their career in finance in 1972. Brewster had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 5, Series 000, Series 1, Series 27, Series 40, Series 12 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

I*21416 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HWH INTERNATIONAL INVESTMENT RELATED: N ADDRESS OF BUSINESS: BELTON, MISSOURI 64012 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/1/2001 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PART OWNER; WIFE OWNS AND RUNS IT

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

February 1, 2018 - April 7, 2022

FWM LEGACY, LLC

RIA

CRD#: 144344

KANSAS CITY, MO

Past

July 9, 2004 - December 26, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

KANSAS CITY, MO

Past

July 7, 2004 - December 26, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

KANSAS CITY, MO

Past

November 21, 2002 - July 9, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

OVERLAND PARK, KS

Past

March 6, 2002 - July 9, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

May 11, 2000 - June 29, 2001

FREEDOM INVESTMENTS, INC.

CRD#: 37674

EDISON, NJ

Past

February 1, 2000 - May 10, 2000

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

January 4, 1999 - October 14, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

April 30, 1987 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

April 23, 1986 - January 12, 1987

PROFESSIONAL BROKERAGE SERVICES INC.

CRD#: 7998

Past

November 2, 1983 - May 12, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 11, 1982 - October 4, 1983

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

September 30, 1975 - October 25, 1982

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

September 21, 1972 - November 14, 1975

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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

IAR

Series 65

Date: 5/24/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/16/2013

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 3/14/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/22/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 000

Date: 9/18/1972

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 9/18/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 12/16/1996

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 40

Date: 6/12/1978

Registered Principal Examination

Principal/Supervisory Exam

Series 12

Date: 3/1/1978

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1977

Registered Options Principal Examination

Current Firm

FWM LEGACY, LLC

FRONTIER WEALTH MANAGEMENT, LLC | FWM LEGACY, LLC

CRD#: 144344 / SEC#: 802-127130

RIA

Registered Investment Advisory firm - (10/21/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4200 W. 115th Street Suite 210, Leawood, KS 66211

Mailing Address

Phone number

(816) 753-5100

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/31/2022)

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2022	Cover Page	Report
08/18/2022	Cover Page	Report
04/11/2022	Cover Page	Report

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	12/5/2022

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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Brewster M. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

QUICK & REILLY, INC.

QUICK & REILLY, INC.

FREEDOM INVESTMENTS, INC.

WEDBUSH SECURITIES INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

PROFESSIONAL BROKERAGE SERVICES INC.

E. F. HUTTON & COMPANY INC

BECKER PARIBAS INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/1995

Series 63

Date: 11/29/1979

SIE

Date: 12/26/2017

Series 31

Date: 5/16/2013

Series 3

Date: 3/14/1989

Series 5

Date: 10/22/1981

Series 000

Date: 9/18/1972

Series 1

Date: 9/18/1972

Series 27

Date: 12/16/1996

Series 40

Date: 6/12/1978

Series 12

Date: 3/1/1978

Series 4

Date: 9/13/1977

Current Firm

FWM LEGACY, LLC

Contact information

Documents

Part 2 Brochures

Accountant surprise examination report

Exempt reporting advisers

Red Flags

Company Information

FWM LEGACY, LLC

TRUST BUT VERIFY

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