William J. Ellington
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 James Ellington, who also goes by William J Ellington, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 4 firms and has passed the Series 57TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2012 - May 2, 2013
CX CAPITAL MARKETS, LLC
March 8, 2005 - June 6, 2025
X-CHANGE FINANCIAL ACCESS, LLC
June 7, 2001 - August 1, 2003
UBS SECURITIES LLC
June 12, 1992 - August 1, 2003
UBS FINANCIAL SERVICES 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
CX CAPITAL MARKETS, LLC
CRD#: 157975 / SEC#: , 8-68872
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENDRICKS, TIMOTHY FRANCIS | MEMBER / MGR | 4645068 |
| SCHEFFLER, PETER GORDON | MEMBER / MGR | 4645073 |
| THE WILLIAM J. ELLINGTON TRUST | MEMBER/MGR | |
| ELLINGTON, WILLIAM JAMES | TRUSTEE OF THE WILLIAM J. ELLINGTON TRUST | 2228436 |
| LEAHY, KEVIN PATRICK | CHIEF COMPLIANCE OFFICER | 3091050 |
| O'LOUGHLIN, WILLIAM PATRICK | FINOP | 6006181 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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