Ellington L. Ellis
Professional summary
Ellington Lloyd Ellis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ellington is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Ellington had worked at 8 firms, which includes CAMBRIDGE INVESTMENT RESEARCH INC., CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CHASE INVESTMENT SERVICES CORP., NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2010 - December 1, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 1, 2010 - October 30, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 26, 2008 - September 10, 2010
CHASE INVESTMENT SERVICES CORP.
March 25, 2008 - September 10, 2010
CHASE INVESTMENT SERVICES CORP.
January 3, 2008 - March 26, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 24, 2001 - August 1, 2002
METROPOLITAN LIFE INSURANCE COMPANY
July 24, 2001 - August 1, 2002
MSI FINANCIAL SERVICES, INC.
January 1, 2001 - May 7, 2001
IDS LIFE INSURANCE COMPANY
January 1, 2001 - May 7, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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