Deneesha A. Ellis
Professional summary
Deneesha Antonette Ellis, who also goes by Deneesha Antonette Ellis Regis, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Tarrytown, New York.
Deneesha is registered as a RR (Registered Representative) and started their career in finance in 2014. Deneesha has worked at 2 firms and has passed the Series 63, SIE, Series 6TO and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Deneesha Antonette Ellis's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2024 - Present
VANDERBILT SECURITIES, LLC
July 23, 2021 - December 8, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 26, 2014 - July 14, 2016
TRANSAMERICA FINANCIAL ADVISORS, 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
(8/14/2024)
(3/24/2024)
(6/16/2025)
Exams
Series 6TO
Date: 10/31/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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