Leonard C. Ellis
Professional summary
Leonard Charles Ellis, who also goes by Len Ellis, Leonard Ellis, is a registered financial advisor currently at MOHAWK CAPITAL ADVISORS, LLC located in New York, New York.
Leonard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Leonard has worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Charles Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2021 - Present
MOHAWK CAPITAL ADVISORS, LLC
September 6, 2021 - November 1, 2021
SERVICE ACADEMY CAPITAL MANAGEMENT LLC
May 12, 2011 - May 25, 2012
RENCAP SECURITIES, INC.
June 23, 2009 - May 18, 2011
CAPSTONE GLOBAL MARKETS, LLC
May 2, 2001 - April 8, 2009
CITIGROUP GLOBAL MARKETS INC.
April 30, 1999 - August 29, 1999
DB ALEX. BROWN LLC
Primary Firm SEC Registration
MOHAWK CAPITAL ADVISORS, LLC
CRD#: 172304 / SEC#: 801-80127
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/3/2021)
Exams
Series 55
Date: 1/26/2007
Limited Representative-Equity Trader ExamCurrent Firm
MOHAWK CAPITAL ADVISORS, LLC
CRD#: 172304 / SEC#: 801-80127
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 45,301,000 |
Red Flags
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