John D. Ellis
Professional summary
John Dee Ellis JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, John had worked at 9 firms, which includes PAUL-ELLIS INVESTMENT ASSOCIATES, KOVACK ADVISORS INC., KOVACK SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, INVESTMENT CAPITAL MANAGEMENT INC., ALMAX FINANCIAL SOLUTIONS LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2011 - December 31, 2011
PAUL-ELLIS INVESTMENT ASSOCIATES
May 26, 2010 - December 31, 2010
PAUL-ELLIS INVESTMENT ASSOCIATES
December 17, 2007 - July 24, 2009
KOVACK ADVISORS, INC.
November 29, 2007 - July 24, 2009
KOVACK SECURITIES INC.
February 13, 2004 - November 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 12, 2004 - November 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 14, 2003 - February 11, 2004
INVESTMENT CAPITAL MANAGEMENT, INC.
April 2, 2003 - February 11, 2004
ALMAX FINANCIAL SOLUTIONS, LLC
May 1, 2002 - March 26, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2001 - March 26, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 1998 - August 9, 2000
IDS LIFE INSURANCE COMPANY
December 23, 1998 - August 9, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PAUL-ELLIS INVESTMENT ASSOCIATES
CRD#: 151162 / SEC#: 801-70460
Contact information
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