William F. 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.
William Francis Ellis was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1973. William had worked at 1 firm and has passed the Series 65, Series 63, Series 4 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 29, 2005 - October 21, 2013
S.W. CHILDS MANAGEMENT CORPORATION
September 17, 1973 - July 23, 2010
S.W. CHILDS MANAGEMENT CORPORATION
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 00
Date: 9/13/1973
General Securities Principal ExaminationCurrent Firm
S.W. CHILDS MANAGEMENT CORPORATION
CRD#: 1452 / SEC#: , 8-12346
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STARLING W CHILDS II TRUSTEE, TRUST/UNDER/WILL: EDWARD C CHILDS | SHAREHOLDER | |
| CHILDS, STARLING WINSTON II | CHAIRMAN, BOARD OF DIRECTORS | 1465073 |
| ESTATE OF ELISABETH CALDER CHILDS | SHAREHOLDER | |
| GILL, ELISABETH CHILDS | SHAREHOLDER | 5610980 |
| COLLINS, ANNE CARMICHAEL | DIRECTOR | 1901823 |
| CHILDS, EDWARD CALDER | SHAREHOLDER | 1901827 |
| CHILDS, JOHN DAVENPORT | DIRECTOR | 4616632 |
| CHILDS, KATHERINE HENLEY | SHAREHOLDER | 5610939 |
| ELLIS, WILLIAM FRANCIS | DIR.,CEO,COO,CCO,DROP, CFO | 200489 |
| HOPE S CHILDS | SHAREHOLDER | |
| WILLIAM ELLIS & STARLING W CHILDS II TRUSTEES/UNDER/WILL: S. W. CHILDS FBO: EDWARD COFFIN CHILDS, ET AL | SHAREHOLDER | |
| WILLIAM ELLIS, S W CHILDS II, AND ELISABETH CHILDS GILL TRUSTEES/UNDER/WILL: S. W. CHILDS FBO: S.W. CHILDS JR, ETAL | SHAREHOLDER |
Disclosures
| Regulatory Event | 8 |
Red Flags
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