Kenneth 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.
Kenneth Ellis, who also goes by Kenneth I Ellis, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1969. Kenneth had worked at 4 firms and has passed the Series 5, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 1995 - November 5, 1999
PRIME EXECUTIONS, INC.
November 16, 1984 - March 22, 1994
GRUNTAL & CO., L.L.C.
September 11, 1970 - November 29, 1984
GRENEL & CO., LLC
March 18, 1969 - March 17, 1973
FILOR, BULLARD & SMYTH
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 5
Date: 10/30/1982
Interest Rate Options ExaminationSeries 000
Date: 1/31/1961
General Securities Principal ExaminationSeries 1
Date: 8/26/1960
Registered Representative ExaminationSeries 00
Date: 3/7/1969
General Securities Principal ExaminationCurrent Firm
PRIME EXECUTIONS, INC.
CRD#: 32889 / SEC#: , 8-43985
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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