Zachary M. Ellis
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.
Zachary Michael Ellis, who also goes by Zach Ellis, was a registered financial professional .
Zachary is a previously registered financial professional and started their career in finance in 2013. Zachary had worked at 4 firms and has passed the Series 66, Series 31, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2023 - June 5, 2026
NEUBERGER BERMAN BD LLC
May 31, 2023 - June 5, 2026
NEUBERGER BERMAN BD LLC
November 21, 2017 - January 6, 2023
MORGAN STANLEY
May 25, 2017 - January 6, 2023
MORGAN STANLEY
July 27, 2015 - April 25, 2016
EATON VANCE DISTRIBUTORS, INC.
June 4, 2013 - July 2, 2013
SRT SECURITIES LLC
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
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.
