Greg E. 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.
Greg Evan Ellis was a registered financial professional .
Greg is a previously registered financial professional and started their career in finance in 1997. Greg had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2000 - April 17, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 31, 1999 - November 22, 2000
PORTLAND INVESTMENT SERVICES, INC.
April 22, 1997 - October 21, 1998
NATIONWIDE INVESTMENT SERVICES CORPORATION
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
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| DELEGET, JERROLD BRIAN | CHIEF COMPLIANCE OFFICER | 4364224 |
| JESTICE, KEVIN THOMAS | BOARD DIRECTOR | 5363377 |
| KOTECHA, KUSH VIJAY | BOARD DIRECTOR | 8178085 |
| PEREZ, JUAN JOSE QUEVER | PRESIDENT/BOARD DIRECTOR | 6387381 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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