JE
John M. Ellis
FIRST HEARTLAND CONSULTANTS
FULTON, MS 38843
Some features on this profile are disabled
CRD#: 6699811
JE
Professional summary
John Michael Ellis, who also goes by John M Ellis, Mike Ellis, is a registered financial advisor currently at FIRST HEARTLAND CONSULTANTS, INC. located in Fulton, Mississippi and FIRST HEARTLAND CAPITAL, INC. located in Fulton, Mississippi.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. John has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John M Ellis | Mike 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.
Van Wallace Insurance Agency, Investment Related, Property & Casualty Insurance Sales, AGENT/BROKER, Start Date: 02/17/2018 Covenant Financial Group, Investment Related, Marketing insurance and financial services., AGENT/BROKER, Start Date: 02/01/2018 Itawamba County Development Council, Not Investment Related, Help promote and attract new businesses to Itawamba County. Volunteer. 4 hours a month., BOARD MEMBER, Start Date: 09/01/2020 Covenant Financial of Fulton, Investment Related, Marketing insurance and financial services., AGENT/BROKER, Start Date: 02/01/2018 First Heartland Consultants, Inc., Investment Related, Investment advisory services., IAR, Start Date: 04/04/2019 J and M Family Farms, Not Investment Related, Assist family member who is farm owner with farm operations., OTHER, Start Date: 01/01/2006
CRS (Client Relationship Summary) - RIA
Click below to view John Michael 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®
NoneExperience
Current
April 4, 2019 - Present
FIRST HEARTLAND CONSULTANTS, INC.
Office #1: 11 Mcneece Cr, Fulton, MS 38843RIA
CRD#: 110377
FULTON, MS
Current
February 26, 2018 - Present
FIRST HEARTLAND CAPITAL, INC.
Office #1: 11 Mcneece Cr, Fulton, MS 38843BD
CRD#: 32460
Fulton, MS
Past
September 17, 2016 - February 21, 2018
WOODMEN FINANCIAL SERVICES, INC.
BD
CRD#: 117365
SALTILLO, MS
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".
FH
FIRST HEARTLAND CONSULTANTS, INC.
FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
RIA
Registered Investment Advisory firm - (5/23/1994 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
Alabama(10/6/2020)
RR
Georgia(8/4/2023)
RR
Mississippi(2/26/2018)
IAR
Mississippi(4/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/3/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FIRST HEARTLAND CONSULTANTS, INC.
FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
RIA
Registered Investment Advisory firm - (5/23/1994 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4101 Lake St. Louis Blvd, Lake St. Louis, MO 63367
Mailing Address
Phone number
(636) 625-0900
Established
Firm type
Fiscal year end
# of Employees
92
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 9,231 |
| AUM (Assets Under Management) | $ 1,771,078,009 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 08/12/2024 | ||
| 12/07/2023 |
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.
Company Information
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377Fulton, MS 38843TRUST BUT VERIFY
Monitor John Ellis
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
