Brian P. Ellis
Professional summary
Brian Patrick Ellis, who also goes by Brian P Ellis, is a registered financial advisor currently at ROCKPORT WEALTH ADVISORS located in Okatie, South Carolina.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Patrick Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2024 - Present
ROCKPORT WEALTH ADVISORS
July 17, 2020 - November 9, 2021
ESSEX SECURITIES LLC
February 8, 2017 - April 4, 2024
THE J. ARNOLD WEALTH MANAGEMENT CO., LLC
May 9, 2003 - July 17, 2020
INVESTACORP, INC.
May 7, 2001 - April 24, 2003
LEGG MASON WOOD WALKER, INCORPORATED
February 24, 1998 - May 16, 2001
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
ROCKPORT WEALTH ADVISORS
CRD#: 297122 / SEC#: 801-126796
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/10/2024)
(1/12/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ROCKPORT WEALTH ADVISORS
CRD#: 297122 / SEC#: 801-126796
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,748 |
| AUM (Assets Under Management) | $ 568,661,117 |
Red Flags
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