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KE

Kathryn L. Ellis

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CRD#: 3250918
KE

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.

Kathryn Lorraine Ellis was a registered financial professional .

Kathryn is a previously registered financial professional and started their career in finance in 1999. Kathryn had worked at 1 firm and has passed the Series 7 and Series 11 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 19, 1999 - August 11, 2009

SBK-BROOKS INVESTMENT CORP.

BD
CRD#: 35851
CLEVELAND, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 5/9/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 10/18/1999
Assistant Representative-Order Processing Qualification Exam

Current Firm

SI
SBK-BROOKS INVESTMENT CORP.
BSI ACQUISITION CORP. | SBK-BROOKS INVESTMENT CORP. | SBK ADVISORS

CRD#: 35851 / SEC#: , 8-46941

BD
Terminated by SEC on 10/25/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 12/02/1993
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SMALL, ERIC LOWELLPRESIDENT & CEO2140208
WARMACK, KEVIN LAVONCHIEF COMPLIANCE OFFICER2666383

Disclosures

Regulatory Event5

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.

Company Information

SBK-BROOKS INVESTMENT CORP.

CRD#: 35851

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