JE
James C. Ellis
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CRD#: 4494044
JE
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.
James Clifford Ellis SR, who also goes by Jim Ellis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Ellis
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.
1. 8/18/2011: DBA ONLY - SYNERGY FINANCIAL GROUP. 2. 11/23/2011: NON-VARIABLE INSURANCE - AMERITAS LIFE INSURANCE COMPANY - LIFE INSURANCE POLICY WITH AMERITAS - 1% OF TIME SPENT - BALTIMORE, MD. 3. 11/25/2011: REAL ESTATE RENTAL - JAE LLC - SINGLE FAMILY HOME USED AS RENTAL PROPERTY FOR A SMALL BUSINESS (NOT SECURITIES RELATED). - 1% OF TIME SPENT - BALTIMORE, MD. 4. 12/15/2011: OTHER-FIRE SUPPRESSION - METALCRAFT, INC. - FIRE SUPPRESSION COMPANY; SECRETARY AND ON THE BOARD OF DIRECTORS; ATTEST TO ANY COMPANY BUSINESS, ATTEND BOARD MEETINGS, VOTE ON MAJOR DECISIONS OR DIRECTIONS THE COMPANY IS CONSIDERING; CAN SIGN CHECKS, AND CONDUCT GENERAL BUSINESS AS NECESSARY. - TIME SPENT 1% - BALTIMORE, MD. 5. 12/15/2011: REAL ESTATE RENTAL - SEES - RESIDENTIAL PROPERTY THAT THEY OWN AND USE AS THEIR PLACE OF BUSINESS. ELLIS & ASSOCIATES (PREVIOUSLY DISCLOSED OBA) ARE THE ONLY TENANTS. - TIME SPENT 1% - BALTIMORE, MD. 6. 5/29/2012: OTHER-INSURANCE SALES - SYNERGY BENEFIT CONSULTANTS - RECEIVING COMMISSIONS FOR GROUP HEALTH INSURANCE SALE. - TIME SPENT 1% - BALTIMORE, MD. 7. 5/29/2012: NON-VARIABLE INSURANCE - THE GUARDIAN LIFE INSURANCE CO. - SALE OF LIFE INSURANCE. - TIME SPENT 2% - BALTIMORE, MD. 8. 11/07/2012: TUTTI FRUTTI OF TOWSON LLC /OTHER-FROZEN YOGURT RETAIL SHOP / TIME SPENT 2% 9. 12/12/2012: NOTARIZE SIGNATURES / OTHER-NOTARY/ BALTIMORE, MD. 10. 2/28/2020 - SFG Wealth Management - DBA: SFG Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 11. 3/2/2020 - SFG Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through SFG Wealth Management LLC, an independent investment advisor firm. I started this business activity in 03/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 12. 3/12/2020 - SFG Wealth Management, LLC - DBA: (Hybrid) SFG Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 13. 02/08/2022 - FE Advisory Inc. - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Vice President - Start Date: 08/17/1987 - 50 Hours Per Month/50 Hours During Securities Trading.
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®
NoneExperience
Past
December 16, 2016 - February 1, 2024
SFG WEALTH MANAGEMENT
RIA
CRD#: 285785
TOWSON, MD
Past
August 5, 2011 - April 5, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
TOWSON, MD
Past
August 5, 2011 - February 6, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
TOWSON, MD
Past
July 11, 2006 - August 5, 2011
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
NOTTINGHAM, MD
Past
February 7, 2003 - August 5, 2011
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
NOTTINGHAM, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SFG WEALTH MANAGEMENT
SFG WEALTH MANAGEMENT | SYNERGY FINANCIAL GROUP LLC | SFG WEALTH MANAGEMENT, LLC
CRD#: 285785 / SEC#: 801-108748
RIA
Registered Investment Advisory firm - (12/16/2016 Approved)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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
SFG WEALTH MANAGEMENT
SFG WEALTH MANAGEMENT | SYNERGY FINANCIAL GROUP LLC | SFG WEALTH MANAGEMENT, LLC
CRD#: 285785 / SEC#: 801-108748
RIA
Registered Investment Advisory firm - (12/16/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1104 Kenilworth Drive Suite 500, Towson, MD 21204
Mailing Address
Phone number
(410) 825-3200
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,918 |
| AUM (Assets Under Management) | $ 643,567,369 |
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.
