Ellis D. Chaplin
Professional summary
Ellis Dean Chaplin, who also goes by Ellis Chaplin, is a registered financial professional currently at DC ADVISORY located in Washington Dc, District Of Columbia.
Ellis is registered as a RR (Registered Representative) and started their career in finance in 2011. Ellis has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ellis Dean Chaplin's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 14, 2021 - Present
DC ADVISORY
Office #1: 1425 K Street, Nw Suite 900, Washington Dc, DC 20005June 22, 2015 - December 16, 2021
RAYMOND JAMES & ASSOCIATES, INC.
January 2, 2013 - July 10, 2015
BB&T SECURITIES, LLC
November 4, 2011 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/14/2021)
(12/14/2021)
Exams
FINRA
Current Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
Red Flags
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