Benny L. Ellerbe
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.
Benny L Ellerbe, who also goes by Ben Lane Ellerbe, Ben L Ellerbe, Ben Lane Ellerbe Jr., Ben Ellerbe Jr., Ben Ellerbe, Benny Lane Ellerbe Jr., Benny Ellerbe, was a registered financial professional .
Benny is a previously registered financial professional and started their career in finance in 2003. Benny had worked at 14 firms and has passed the Series 66, Series 79TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2024 - July 2, 2025
EDWARD JONES
September 3, 2024 - July 2, 2025
EDWARD JONES
August 1, 2023 - July 11, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 1, 2023 - July 11, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 11, 2021 - October 7, 2022
TCFG INVESTMENT ADVISORS, LLC
March 11, 2021 - September 30, 2022
TCFG WEALTH MANAGEMENT, LLC
December 20, 2017 - March 16, 2021
U.S. BANCORP INVESTMENTS, INC.
December 20, 2017 - March 16, 2021
U.S. BANCORP INVESTMENTS, INC.
October 4, 2013 - December 8, 2017
PNC WEALTH MANAGEMENT LLC
October 4, 2013 - December 8, 2017
PNC WEALTH MANAGEMENT LLC
July 1, 2011 - October 10, 2013
LPL FINANCIAL LLC
July 1, 2011 - October 10, 2013
LPL FINANCIAL LLC
October 4, 2010 - July 1, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2010 - July 1, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2010 - July 1, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 4, 2010 - July 1, 2011
AVANTAX INVESTMENT SERVICES, INC.
October 4, 2010 - July 1, 2011
FIRST CLEARING, LLC
September 4, 2009 - October 1, 2010
U.S. BANCORP INVESTMENTS, INC.
September 3, 2009 - October 1, 2010
U.S. BANCORP INVESTMENTS, INC.
July 17, 2007 - March 9, 2009
TD AMERITRADE, INC.
July 17, 2007 - March 9, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 25, 2007 - March 9, 2009
TD AMERITRADE, INC.
October 5, 2004 - August 3, 2006
SCOTTRADE, INC.
July 16, 2003 - August 19, 2004
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
