Ellis J. De Jesus

NORTHBRIDGE FINANCIAL GROUP

TAMPA, FL 33607

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CRD#: 5068897

Professional summary

Ellis James De Jesus, CFP® is a registered financial advisor currently at NORTHBRIDGE FINANCIAL GROUP, LLC located in Tampa, Florida and LPL FINANCIAL LLC located in Tampa, Florida.

Ellis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ellis has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Income Management

Employee and Employer Plan Ben...

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

Estate Planning

Insurance Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 12/14/2015 - Northbridge Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 9/1/2015 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 99%. 2. 3/24/2017 - Ellis James Investment, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/26/2017 - 0 Hours Per Month. 3. 10/13/2020 - Northbridge Financial Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 10/02/2020 - 200 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Northbridge Financial Group, LLC, an independent investment advisor firm. I started this business activity in 10/2020. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellis James De Jesus'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

October 1, 2020 - Present

NORTHBRIDGE FINANCIAL GROUP, LLC

Office #1: 4300 West Cypress Street Meridian Two Building, Suite 370, Tampa, FL 33607

RIA

CRD#: 310394

TAMPA, FL

Current

December 14, 2015 - Present

LPL FINANCIAL LLC

Office #1: 4300 W. Cypress St. Suite 370, Tampa, FL 33607

RIA

CRD#: 6413

TAMPA, FL

Past

December 16, 2015 - October 28, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

October 11, 2013 - December 16, 2015

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

TAMPA, FL

Past

September 30, 2013 - December 16, 2015

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

TAMPA, FL

Past

November 5, 2012 - September 24, 2013

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ST. PETERSBURG, FL

Past

November 1, 2012 - September 24, 2013

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ST. PETERSBURG, FL

Past

July 7, 2010 - October 8, 2012

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

TAMPA, FL

Past

April 23, 2010 - October 8, 2012

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

TAMPA, FL

Past

July 13, 2007 - March 23, 2010

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

TAMPA, FL

Past

July 13, 2007 - March 23, 2010

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

TAMPA, FL

Past

October 18, 2006 - July 9, 2007

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

TAMPA, FL

Past

October 13, 2006 - July 9, 2007

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

TAMPA, FL

Past

February 28, 2006 - September 13, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TAMPA, FL

Past

February 10, 2006 - September 13, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TAMPA, FL

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".

NORTHBRIDGE FINANCIAL GROUP, LLC

CRD#: 310394 / SEC#: 801-119466

RIA

Registered Investment Advisory firm - (9/14/2020 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/10/2017)

Colorado
(4/5/2024)

Connecticut
(8/3/2020)

Florida
(12/14/2015)

IAR

Florida
(10/1/2020)

Pennsylvania
(11/10/2017)

Texas
(5/14/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/8/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/9/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHBRIDGE FINANCIAL GROUP, LLC

CRD#: 310394 / SEC#: 801-119466

RIA

Registered Investment Advisory firm - (9/14/2020 Approved)

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Contact information

Main Address

4300 West Cypress Street Meridian Two Building, Suite 370, Tampa, FL 33607

Mailing Address

Phone number

(813) 877-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHBRIDGE DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,200
AUM (Assets Under Management)	$ 305,604,820

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Ellis J. De Jesus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ellis James De Jesus's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NORTHBRIDGE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2010

SIE

Date: 10/1/2018

Series 7

Date: 2/9/2006

FINRA

Current Firm

NORTHBRIDGE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHBRIDGE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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