PE
Paul B. Ellis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mukilteo, WA 98275
Some features on this profile are disabled
CRD#: 2455641
PE
Professional summary
Paul Bertrand Ellis, CIMA® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mukilteo, Washington and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mukilteo, Washington.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 08/2017, AS ADVISORY REP OF A RIA. INV REL, 40 HR/WK 40 HR/TRADING 2) UW FOSTER SCHOOL OF BUSINESS, 124 MACKENZIE HALL SEATTLE WA, 01/2017, BOARD MEMBER, NIR, 10/YR 0/TRADING 3) MUKILTEO CHAMBER OF COMMERCE, 4902 76TH ST SW MUKILTEO WA, 01/2017, BOARD MEMBER/IMMEDIATE PAST PRESIDENT, NIR, 6 HR/MO 2 HR/MO TRADING 4) NDEPENDENT INSURANCE AGENT, 12121 HARBOUR REACH DR STE 206 MUKILTEO, WA, 12/2017, FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 1/WK 8/TRADING 5) PONYTAIL UNLIMITED LLC, MUKILTEO WA, 01/2014, PRESIDENT/CEO DESINGING AND MANUFACTURING PERSONAL SELF DEFENSE PRODUCTS, NIR, 10/YR 0/TRADING 6) JAMTEAMDESIGN LLC, MUKILTEO WA, 01/2014, PRESIDENT/CEO, DESIGN, CONSULTING, AND MANUFACTURING, NIR, 10/YR 0/TRADING 7) ELLIS WEALTH MANAGEMENT LLC, 12121 HARBOUR REACH DR STE 206 MUKILTEO WA, 03/2014, PRESIDENT/MANAGING DIRECTOR, INV REL, 16/WK 16/TRADING 8) EWM ADVANTAGE, 12610 52ND PL W MUKILTEO WA, AFFILIATE MARKETING, CEO-PRESIDENT, 09/2020, NIR, 10 HR/MO 0 HR/MO TRADING 9) PAUL ELLIS, MUKILTEO WA 98275, 05/2022, Committee Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 1 HR/MO 0 HR/MO TRADING 10) TALENT 5X, 12610 52ND PL W MUKILTEO WA, 06/2024, CEO, AUTHOR/PODCASTER/SPEAKER, NIR, 2 HR/MO 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Paul Bertrand Ellis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 16, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 12610 52nd Place W, Mukilteo, WA 98275RIA
CRD#: 134139
Mukilteo, WA
Current
August 16, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Mukilteo, WA
Past
March 26, 2014 - August 17, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MUKILTEO, WA
Past
March 26, 2014 - August 17, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
MUKILTEO, WA
Past
September 13, 1999 - March 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BELLEVUE, WA
Past
July 21, 1999 - March 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BELLEVUE, WA
Past
July 1, 1998 - May 21, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
March 2, 1994 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
BD
CRD#: 17411
SEATTLE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(8/16/2017)
RR
Arizona(8/16/2017)
RR
California(8/16/2017)
RR
Colorado(8/16/2017)
RR
Florida(8/16/2017)
RR
Hawaii(8/16/2017)
RR
Idaho(8/16/2017)
RR
Massachusetts(8/16/2017)
RR
Nevada(8/16/2017)
RR
New York(8/16/2017)
RR
Ohio(1/2/2020)
RR
Oregon(8/16/2017)
RR
Texas(8/16/2017)
IAR
Texas(8/16/2017)
RR
Virginia(1/23/2019)
RR
Washington(8/16/2017)
IAR
Washington(8/16/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
