Joseph Ellis
DIVERSIFY ADVISORY SERVICES
San Jose, CA 95126
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CRD#: 5288068
Professional summary
Joseph Ellis, CFP®, who also goes by Dr Joe Ellis, Dr Joseph Ellis, Joe Ellis, is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in San Jose, California and DFPG INVESTMENTS, LLC located in San Jose, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dr Joe Ellis | Dr Joseph Ellis | Joe Ellis
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. Global Wealth Partners Insurance Services; Non-Investment Related; San Diego, CA; Insurance; Agent; 4/2007; 15% during business hours; Sale and maintenance of fixed insurance products 2. Joseph Ellis, Tax Preparation; Non-Investment Related; San Diego, CA; Tax Preparation; Owner; 01/2011; 10% during business hours; Tax preparation and representation before the IRS as enrolled agent 3. Joseph Ellis, Notary; Non-Investment Related; San Diego, CA; Notary Services; Owner; 10/2014; 1% during business hours; Notary Services 4. Dr. Joseph Ellis; Non-Investment Related; San Diego, CA; Public Speaking; Owner; 07/2017; 5% during business hours; Public speaking mainly on injury and medical solutions. Authoring new book on running injuries. 5. Joseph Ellis - Real Estate; Non-Investment Related; San Diego, CA; Real Estate; Owner; 07/2017; 1% during business hours; Real estate advisory. Includes advising, purchasing, and selling real property as well as loans. 6. Robles Bioceutics- https://roblesbioceutics.com/; Fractional CFO; Developing a new stem cell dermatological solution for damaged skin. 3% during business hours; complensation- Stock.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Ellis's 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®
Start date: 2011
Experience
Current
December 22, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 1764 The Alameda, San Jose, CA 95126RIA
CRD#: 326060
San Jose, CA
Current
December 16, 2015 - Present
DFPG INVESTMENTS, LLC
Office #1: 1764 The Alameda, San Jose, CA 95126BD
CRD#: 155576
San Jose, CA
Past
January 3, 2017 - February 9, 2024
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
San Diego, CA
Past
February 12, 2015 - December 18, 2015
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SAN DIEGO, CA
Past
February 10, 2015 - December 18, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SAN DIEGO, CA
Past
November 18, 2014 - December 10, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
SAN DIEGO, CA
Past
February 6, 2014 - September 11, 2014
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN JOSE, CA
Past
January 31, 2014 - September 17, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN JOSE, CA
Past
April 4, 2007 - February 13, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SAN DIEGO, CA
Past
March 13, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SAN DIEGO, CA
Past
March 13, 2007 - February 13, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SAN DIEGO, CA
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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.RR
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
RR
Arizona(5/11/2023)
RR
California(12/16/2015)
IAR
California(12/22/2023)
RR
Florida(2/18/2019)
RR
Hawaii(11/1/2023)
RR
Illinois(12/6/2018)
RR
Maryland(12/7/2018)
RR
Minnesota(4/19/2021)
RR
Nevada(9/30/2019)
RR
Oregon(1/15/2021)
RR
Tennessee(2/16/2022)
RR
Texas(6/10/2021)
IAR
Texas(12/22/2023)
RR
Utah(10/29/2025)
RR
Virginia(2/24/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
