Marc 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.
Marc Ellis, who also goes by Marc Andrew Ellis, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1992. Marc had worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2017 - August 16, 2018
CORINTHIAN PARTNERS, L.L.C.
January 6, 2015 - December 15, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
August 14, 2012 - January 29, 2013
KUHNS BROTHERS SECURITIES CORPORATION
July 11, 2012 - July 20, 2012
OBSIDIAN FINANCIAL GROUP, LLC
January 12, 2010 - August 3, 2011
TGL PARTNERS LLC
February 17, 2009 - July 18, 2012
LAIDLAW & COMPANY (UK) LTD.
July 5, 2005 - February 24, 2009
GUNNALLEN FINANCIAL, INC
May 6, 2005 - May 11, 2005
HEDGE FUND CAPITAL PARTNERS, LLC
December 6, 2004 - December 8, 2004
BENSON YORK GROUP, INC.
February 20, 2001 - December 16, 2003
EUROAMERICAN FINANCIAL LIMITED L.L.C.
December 1, 2000 - January 2, 2004
WORLDCO, L.L.C.
December 20, 1999 - December 5, 2000
TRADE.COM ONLINE SECURITIES, INC.
June 9, 1994 - August 11, 1995
CITIGROUP GLOBAL MARKETS INC.
September 3, 1993 - June 28, 1994
BROOKSTREET SECURITIES CORPORATION
July 22, 1992 - September 3, 1993
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
CORINTHIAN PARTNERS, L.L.C.
CRD#: 38912 / SEC#: , 8-48461
Contact information
FINRA licenses (33 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
