Andrea N. Ellis

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CRD#: 5193470

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.

Andrea Nicole Ellis, CFP®, who also goes by Andrea Nicole Matthews, was a registered financial professional .

Andrea is a previously registered financial professional and started their career in finance in 2006. Andrea had worked at 5 firms and has passed the Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrea Nicole Matthews

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)

The CRS(Customer Relationship Summary) document is not provided.

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^®

CRD#: 5685

ZANESVILLE, OH

Past

July 27, 2006 - July 1, 2021

BUDROS, RUHLIN & ROE

RIA

CRD#: 106536

COLUMBUS, OH

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".

PINNACLE ADVISORS

CRD#: 106817 / SEC#: 801-51715

RIA

Registered Investment Advisory firm - (5/30/1996 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

Series 7TO

Date: 10/9/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/3/2021

Securities Industry Essentials Examination

Current Firm

PINNACLE ADVISORS

CRD#: 106817 / SEC#: 801-51715

RIA

Registered Investment Advisory firm - (5/30/1996 Approved)

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Contact information

Main Address

6 West 3rd St. Ste 100, Mansfield, OH 44902

Mailing Address

Phone number

(419) 526-5226

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINNACLE DISCLOSURE BROCHURE (10/9/2025)

Regulatory assets under management

Total Number of Accounts	3,513
AUM (Assets Under Management)	$ 1,939,495,799

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2023	Cover Page	Report

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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Firm Stability Insights

Andrea N. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PINNACLE ADVISORS

MARINER WEALTH

JMG FINANCIAL GROUP LTD

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

BUDROS, RUHLIN & ROE

Primary Firm SEC Registration

PINNACLE ADVISORS

State Registrations and Notice Filings

Exams

Series 7TO

Date: 10/9/2021

SIE

Date: 9/3/2021

Current Firm

PINNACLE ADVISORS

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PINNACLE ADVISORS

TRUST BUT VERIFY

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