Geoffrey E. Ellis
Professional summary
Geoffrey Earl Ellis, who also goes by Geoff Ellis, is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in Denver, Colorado.
Geoffrey is registered as a RR (Registered Representative) and started their career in finance in 1991. Geoffrey has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Geoffrey Earl Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2019 - Present
ERNST & YOUNG CAPITAL ADVISORS, LLC
Office #1: 370 17th Street 48th Floor, Denver, CO 80202September 13, 2011 - April 3, 2019
J.P. MORGAN SECURITIES LLC
November 1, 2010 - September 9, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 1997 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
November 7, 1991 - August 20, 1992
WINTHROP SECURITIES CO., 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
(7/19/2021)
(7/19/2021)
(6/27/2019)
(6/27/2019)
(7/19/2021)
(7/19/2021)
(6/27/2019)
(7/19/2021)
(4/4/2019)
(6/27/2019)
(6/27/2019)
(6/27/2019)
(6/27/2019)
(6/27/2019)
(6/27/2019)
(6/27/2019)
(2/20/2020)
(6/27/2019)
(6/27/2019)
(6/27/2019)
(4/4/2019)
(6/28/2019)
(4/11/2025)
(6/27/2019)
(7/19/2021)
(7/19/2021)
(7/19/2021)
(7/19/2021)
(7/19/2021)
(7/19/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
