Joshua 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.
Joshua Andrew Ellis was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1999. Joshua had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2005 - May 13, 2019
SHASTA FINANCIAL PLANNING
November 16, 2004 - July 6, 2005
WERTHEIMER, DONALD BARRY
March 5, 2003 - October 18, 2004
OSAIC FA, INC.
March 5, 2003 - October 18, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 5, 2003 - October 18, 2004
OSAIC FA, INC.
December 16, 1999 - November 26, 2002
MUTUAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SHASTA FINANCIAL PLANNING
CRD#: 133791 / SEC#:
Contact information
Red Flags
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