Matthew B. Ellis
Professional summary
Matthew Brian Ellis, who also goes by Matthew B Ellis, Matthew Ellis, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Summerville, South Carolina and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Matthew has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Brian Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
March 27, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111April 6, 2023 - August 8, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 30, 2023 - August 7, 2023
FIDELITY BROKERAGE SERVICES LLC
March 4, 2021 - October 25, 2022
HARRISDIRECT LLC
March 4, 2021 - October 25, 2022
E*TRADE SECURITIES LLC
December 2, 2016 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 2, 2016 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 14, 2016 - November 28, 2016
TD AMERITRADE, INC.
July 14, 2016 - November 28, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 14, 2016 - November 28, 2016
TD AMERITRADE, INC.
May 15, 2007 - June 24, 2016
HARRISDIRECT LLC
May 4, 2005 - June 24, 2016
E*TRADE SECURITIES LLC
January 11, 2005 - April 29, 2005
EDWARD JONES
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
