DE
Daniel D. Ellis
WESTERN WEALTH MANAGEMENT LLC
WESTMINSTER, CO
Some features on this profile are disabled
CRD#: 3124326
DE
Professional summary
Daniel David Ellis, who also goes by Sue Song, is a registered financial advisor currently at WESTERN WEALTH MANAGEMENT LLC located in Westminster, Colorado and LPL FINANCIAL LLC located in Golden, Colorado.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sue Song
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.
(1) 05/04/2016 * Real Estate Rental * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * 1. Co-owner with spouse 2. 655 Four Oclock Rd., Unit 202, Breckenridge, CO 80424 * START 04/01/2010 * TIME SPENT 1% (2) 05/04/2016 * Real Estate Rental * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * 1. Co-owner with spouse 2. 504 S Hall, Mesa, AZ 85204-2848 * START 05/01/2010 * TIME SPENT 0% (3) 05/04/2016 * Real Estate Rental * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * 1. Co-owner with spouse 2. 512 S Hall, Mesa, AZ 85204-2854 * START 05/01/2010 * TIME SPENT 0% (4) 05/04/2016 * DBA for LPL Business (entity for LPL business) * Western Wealth Management * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 05/03/2016 * TIME SPENT 100% (5) 05/05/2016 * Western Wealth Management. LLC * Registered Investment Advisor Hybrid * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 05/03/2016 * TIME SPENT 100% (6) 10/04/2016 * No Business Name * Non-Variable Insurance Commission Trails Only * INV REL * 11702 Perry St Westminster Co 80031 * Start 09/30/2016 * 1 Hr/Mo * Financial Advisor to service existing life insurance policy. It does not employ ind not licensed with LPL. (7) 7/5/2018 - Waterhouse Wealth Management, LLC - Not Investment Related - Address: None - Business Entity For Tax/Investment Purposes Only - Started 06/01/2018 - 0 Hours Per Month - Pass through entity for commissions and expenses. (8) 7/10/2018 - Core Progression - Not Investment Related - There is not an address location yet. - Business Owner - Co-Owner - Started 07/02/2018 - 15 Hours Per Month/1 Hours During Securities Trading. (9) 09/06/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 08/30/2022 - 1 Hours Per Month/0 Hours During Securities Trading. (10) 11/29/2023 - Flatirons Capital LLC - Inv Related - Charlevoix, MI - Real Estate Rental - Started: 10/31/2023 - 2 Hrs/Mo; 0 Hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Daniel David Ellis's 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®
NoneExperience
Current
June 22, 2016 - Present
WESTERN WEALTH MANAGEMENT LLC
Office #2: 14143 Denver West Pkwy Ste 450, Golden, CO 80401RIA
CRD#: 283545
WESTMINSTER, CO
Current
May 4, 2016 - Present
LPL FINANCIAL LLC
Office #1: 14143 Denver West Pkwy Ste 450, Golden, CO 80401RIA
BD
CRD#: 6413
Golden, CO
Past
May 4, 2016 - June 22, 2016
WESTERN WEALTH MANAGEMENT LLC
RIA
CRD#: 167344
GOLDEN, CO
Past
April 25, 2016 - May 4, 2016
SPC
RIA
CRD#: 110692
Littleton, CO
Past
April 25, 2016 - May 4, 2016
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Lone Tree, CO
Past
February 19, 2008 - April 15, 2016
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
BROOMFIELD, CO
Past
January 14, 2002 - April 15, 2016
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
BROOMFIELD, CO
Past
November 1, 2000 - May 10, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 8, 1999 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
BD
CRD#: 34925
SAN FRANCISCO, CA
Past
April 27, 1999 - May 27, 1999
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
February 26, 1999 - April 1, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WW
WESTERN WEALTH MANAGEMENT LLC
ADVANCED DIVORCE SOLUTIONS, LLC | WOODLAKE WEALTH MANAGEMENT | WHITSELL FINANCIAL PARTNERS | WHITE HAWK WEALTH MANAGEMENT | WESTERN WEALTH MANAGEMENT LLC | WESTERN WEALTH ADVISORS, TEXAS | WESTERN WEALTH ADVISORS | VALOR PRIVATE CAPITAL | TRUE NORTH PARTNERS | SUMMIT FINANCIAL GROUP | SENTINEL WEALTH MANAGEMENT | ROCKY MOUNTAIN WEALTH MANAGEMENT | RETIRE BY DESIGN GROUP | QUO VADIS FINANCIAL PARTNERS | PEAKS INTEGRITY WEALTH MANAGEMENT LLC | PEAK WEALTH ADVISORS | PEAK ONE FINANCIAL | PALADIN WEALTH MANAGEMENT, LLC | OAKCREST INVESTMENT SERVICES | NEW WEST ADVISORS | NEW HORIZONS FINANCIAL CONSULTANTS | MULBERRY WEALTH MANAGEMENT | MONARCH ADVISORY GROUP | MAKKAI CAPITAL MANAGEMENT | MAJESTIC WEALTH MANAGEMENT, LLC | MAIN GATE ASSET MANAGEMENT LLC | LONGVIEW WEALTH STRATEGIES | LIVING YOUR WEALTH | KEYSTONE FINANCIAL SERVICES | KENNEBEC WEALTH MANAGEMENT | JUMET FINANCIAL LLC | JACKSON FINANCIAL MANAGEMENT | INVESTMENT CENTER LOCATED AT CREDIT UNION OF COLORADO | INVESTMENT & RETIREMENT CENTER LOCATED AT CREDIT UNION OF DENVER | INVESTMENT & RETIREMENT CENTER LOCATED AT AIR ACADEMY FEDERAL CREDIT UNION | INTEGRATED WEALTH STRATEGIES | INTEGRATED FINANCIAL WELLNESS | HOLLAND FINANCIAL INC. | HASSON FINANCIAL | GRENADIER FINANCIAL | GAIA WEALTH MANAGEMENT | FRONT RANGE WEALTH MANAGEMENT | FORWARD FINANCIAL STRATEGIES | FORTUNATE FAMILY OFFICES | FORTUNATE FAMILY OFFICE | FLEMING FINANCIAL MANAGEMENT | FINANCIAL PLANNING CONCEPTS | FAIRLEY WEALTH MANAGEMENT | EZZELL FINANCIAL GROUP | EXPLORENT WEALTH MANAGEMENT | DURANGO FINANCIAL PLANNING | DURABLE WEALTH MANAGEMENT | DIVIDEND WEALTH ADVISORS | DESTINATION INVESTMENT STRATEGIES | DELOIA WEALTH MANAGEMENT | DC & ASSOCIATES, INC. ADVANCED FINANCIAL SOLUTIONS | DC & ASSOCIATES, INC. | D. FRANK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT | COMPASS BENEFIT PARTNERS | CLEARFOCUS WEALTH ADVISORS | CENTRAL PARK PRIVATE WEALTH MANAGEMENT | CASTLE ROCK PRIVATE WEALTH LLC | CASTLE PINES WEALTH MANAGEMENT GROUP | BUSINESS AND PERSONAL FINANCE, LTD. | BUSINESS & PERSONAL FINANCE LTD | BLANCHARD WEALTH MANAGEMENT | BILLOWS FINANCIAL | BEDFORD WEALTH ADVISORS | ARROW WEALTH MANAGEMENT | APRISENT FINANCIAL GROUP | ALPHA INVESTMENT STRATEGIES | ALLOCATED FINANCIAL PLANNING | AFFINITY WEALTH MANAGEMENT GROUP
CRD#: 283545 / SEC#: 801-107762
RIA
Registered Investment Advisory firm - (5/31/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(11/8/2018)
RR
Colorado(5/4/2016)
IAR
Colorado(6/22/2016)
RR
Florida(5/4/2016)
RR
New Jersey(6/20/2016)
RR
North Carolina(1/12/2023)
RR
Texas(11/6/2024)
RR
Utah(5/4/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTERN WEALTH MANAGEMENT LLC
ADVANCED DIVORCE SOLUTIONS, LLC | WOODLAKE WEALTH MANAGEMENT | WHITSELL FINANCIAL PARTNERS | WHITE HAWK WEALTH MANAGEMENT | WESTERN WEALTH MANAGEMENT LLC | WESTERN WEALTH ADVISORS, TEXAS | WESTERN WEALTH ADVISORS | VALOR PRIVATE CAPITAL | TRUE NORTH PARTNERS | SUMMIT FINANCIAL GROUP | SENTINEL WEALTH MANAGEMENT | ROCKY MOUNTAIN WEALTH MANAGEMENT | RETIRE BY DESIGN GROUP | QUO VADIS FINANCIAL PARTNERS | PEAKS INTEGRITY WEALTH MANAGEMENT LLC | PEAK WEALTH ADVISORS | PEAK ONE FINANCIAL | PALADIN WEALTH MANAGEMENT, LLC | OAKCREST INVESTMENT SERVICES | NEW WEST ADVISORS | NEW HORIZONS FINANCIAL CONSULTANTS | MULBERRY WEALTH MANAGEMENT | MONARCH ADVISORY GROUP | MAKKAI CAPITAL MANAGEMENT | MAJESTIC WEALTH MANAGEMENT, LLC | MAIN GATE ASSET MANAGEMENT LLC | LONGVIEW WEALTH STRATEGIES | LIVING YOUR WEALTH | KEYSTONE FINANCIAL SERVICES | KENNEBEC WEALTH MANAGEMENT | JUMET FINANCIAL LLC | JACKSON FINANCIAL MANAGEMENT | INVESTMENT CENTER LOCATED AT CREDIT UNION OF COLORADO | INVESTMENT & RETIREMENT CENTER LOCATED AT CREDIT UNION OF DENVER | INVESTMENT & RETIREMENT CENTER LOCATED AT AIR ACADEMY FEDERAL CREDIT UNION | INTEGRATED WEALTH STRATEGIES | INTEGRATED FINANCIAL WELLNESS | HOLLAND FINANCIAL INC. | HASSON FINANCIAL | GRENADIER FINANCIAL | GAIA WEALTH MANAGEMENT | FRONT RANGE WEALTH MANAGEMENT | FORWARD FINANCIAL STRATEGIES | FORTUNATE FAMILY OFFICES | FORTUNATE FAMILY OFFICE | FLEMING FINANCIAL MANAGEMENT | FINANCIAL PLANNING CONCEPTS | FAIRLEY WEALTH MANAGEMENT | EZZELL FINANCIAL GROUP | EXPLORENT WEALTH MANAGEMENT | DURANGO FINANCIAL PLANNING | DURABLE WEALTH MANAGEMENT | DIVIDEND WEALTH ADVISORS | DESTINATION INVESTMENT STRATEGIES | DELOIA WEALTH MANAGEMENT | DC & ASSOCIATES, INC. ADVANCED FINANCIAL SOLUTIONS | DC & ASSOCIATES, INC. | D. FRANK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT | COMPASS BENEFIT PARTNERS | CLEARFOCUS WEALTH ADVISORS | CENTRAL PARK PRIVATE WEALTH MANAGEMENT | CASTLE ROCK PRIVATE WEALTH LLC | CASTLE PINES WEALTH MANAGEMENT GROUP | BUSINESS AND PERSONAL FINANCE, LTD. | BUSINESS & PERSONAL FINANCE LTD | BLANCHARD WEALTH MANAGEMENT | BILLOWS FINANCIAL | BEDFORD WEALTH ADVISORS | ARROW WEALTH MANAGEMENT | APRISENT FINANCIAL GROUP | ALPHA INVESTMENT STRATEGIES | ALLOCATED FINANCIAL PLANNING | AFFINITY WEALTH MANAGEMENT GROUP
CRD#: 283545 / SEC#: 801-107762
RIA
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Contact information
Main Address
14143 Denver Pkwy., Ste 450, Golden, CO 80401
Mailing Address
Phone number
(303) 393-2404
Established
Firm type
Fiscal year end
# of Employees
91
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,250 |
| AUM (Assets Under Management) | $ 3,944,223,085 |
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.
