Ellis A. Carson

SUNBEAM CAPITAL MANAGEMENT

Atlanta, GA

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CRD#: 4780927

Professional summary

Ellis Anderson Carson II, who also goes by Ellis Carson, is a registered financial advisor currently at SUNBEAM CAPITAL MANAGEMENT, LLC located in Atlanta, Georgia.

Ellis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Ellis has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ellis Carson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellis Anderson Carson II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 14, 2023 - Present

SUNBEAM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 289723

Atlanta, GA

Past

May 5, 2009 - June 27, 2017

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

September 28, 2006 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

CHICAGO, IL

Past

May 17, 2004 - July 20, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

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".

SUNBEAM CAPITAL MANAGEMENT, LLC

CRD#: 289723 / SEC#: 801-112112

RIA

Registered Investment Advisory firm - (12/4/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(6/14/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/28/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2006

General Securities Representative Examination

Current Firm

SUNBEAM CAPITAL MANAGEMENT, LLC

CRD#: 289723 / SEC#: 801-112112

RIA

Registered Investment Advisory firm - (12/4/2017 Approved)

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Contact information

Main Address

Atlanta, GA

Mailing Address

Phone number

(901) 229-2132

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUNBEAM CAPITAL MANAGEMENT - PART 2 BROCHURE (6/3/2025)

Regulatory assets under management

Total Number of Accounts	132
AUM (Assets Under Management)	$ 213,179,129

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.

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Advisor Monitoring

Firm Stability Insights

Ellis A. Carson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellis Anderson Carson II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

BANC OF AMERICA SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

SUNBEAM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/2023

Series 63

Date: 11/28/2006

SIE

Date: 6/27/2017

Series 7

Date: 9/27/2006

Current Firm

SUNBEAM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUNBEAM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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