Carl L. 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.
Carl Lenvil Ellis, who also goes by Len Ellis, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1996. Carl had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 51 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 26, 2012 - February 7, 2013
SUMMIT FINANCIAL GROUP INC
November 26, 2012 - February 7, 2013
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2009 - October 24, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 11, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 16, 2001 - October 24, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 24, 1999 - May 16, 2001
KEYBANC CAPITAL MARKETS INC.
October 27, 1997 - December 6, 1999
MORGAN STANLEY DW INC.
October 23, 1996 - September 26, 1997
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
