Shawn A. Ellis
Professional summary
Shawn Alden Ellis, who also goes by Shawn Ellis, is a registered financial professional currently at MOODY CAPITAL SOLUTIONS, INC located in Atlanta, Georgia.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 2002. Shawn has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shawn Alden Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2021 - Present
MOODY CAPITAL SOLUTIONS, INC
April 25, 2006 - October 23, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 16, 2004 - October 23, 2008
TD AMERITRADE, INC.
September 16, 2004 - October 23, 2008
TD AMERITRADE, INC.
December 16, 2002 - February 9, 2004
PRUCO SECURITIES, 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
(5/1/2021)
Exams
Series 7TO
Date: 12/28/2021
General Securities Representative ExaminationSeries 79TO
Date: 4/12/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
Red Flags
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