Eric L. 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.
Eric L Ellis, who also goes by Eric Lee Ellis, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2015 - August 16, 2016
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
June 7, 2012 - October 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2012 - October 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2009 - October 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 7, 2007 - February 26, 2008
BOFA ADVISORS, LLC
January 3, 2007 - February 26, 2008
BOFA DISTRIBUTORS, INC.
April 5, 2006 - January 4, 2007
FIRST HORIZON ADVISORS, INC.
August 18, 2003 - July 19, 2004
BANC ONE SECURITIES CORPORATION
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
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107 / SEC#: , 8-44744
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
