Craig A. Ellis

B. RILEY SECURITIES

Greenbrae, CA 94904

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CRD#: 2941173

Professional summary

Craig Andrew Ellis is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Greenbrae, California.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1998. Craig has worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Craig Andrew Ellis's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 7, 2017 - Present

B. RILEY SECURITIES, INC.

Office #1: 100 Drakes Landing Suite 1-305, Greenbrae, CA 94904

CRD#: 25027

Greenbrae, CA

Past

July 11, 2017 - October 31, 2019

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

December 21, 2012 - November 30, 2017

B. RILEY & CO., LLC

CRD#: 40355

SAN FRANCISCO, CA

Past

March 18, 2009 - December 14, 2012

CARIS & COMPANY, INC.

CRD#: 104235

SAN FRANCISCO, CA

Past

May 1, 2000 - February 20, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 9, 1998 - May 1, 2000

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/7/2017)

Exams

State Security Law Exam

Series 63

Date: 5/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 2/11/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 1/28/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/7/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/15/2007

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Mailing Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Phone number

(310) 966-1444

Established

Delaware since 06/16/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
B. RILEY SECURITIES HOLDINGS, INC.	DIRECT PARENT
BAKER, JAMES RICHARD	CO-CHIEF EXECUTIVE OFFICER	5834046
INNIS, KATHLEEN GIBBONS	CHIEF COMPLIANCE OFFICER	2112837
MCCOY, MICHAEL RICHARD	CHIEF FINANCIAL OFFICER	4743031
MOORE, ANDREW THOMAS	CO-CHIEF EXECUTIVE OFFICER	4574997
SCHUTT, JANELLE REGINA	CONTROLLER	2853858

Disclosures

Regulatory Event	12
Civil Event	1
Arbitration	1

Red Flags

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Craig A. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Craig Andrew Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

B. RILEY & CO., LLC

CARIS & COMPANY, INC.

CITIGROUP GLOBAL MARKETS INC.

SCHRODER & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/1998

SIE

Date: 10/1/2018

Series 86

Date: 2/11/2005

Series 87

Date: 1/28/2005

Series 7

Date: 3/7/1998

Series 24

Date: 6/15/2007

FINRA

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY SECURITIES, INC.

TRUST BUT VERIFY

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