Jeremy A. 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.
Jeremy Alexander Ellis was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 2001. Jeremy had worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2004 - February 23, 2026
GENESIS CAPITAL, LLC
February 5, 2001 - July 26, 2002
ROBERTSON STEPHENS, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 28
Date: 1/10/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
GENESIS CAPITAL, LLC
CRD#: 128801 / SEC#: , 8-66178
Contact information
FINRA licenses (24 States and Territories)
Documents
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.
