Jack R. 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.
Jack Ryan Ellis was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 2018. Jack had worked at 1 firm and has passed the Series 62, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2018 - February 4, 2019
DONNELLY PENMAN & PARTNERS
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
Series 62
Date: 1/7/2019
Corporate Securities Limited Representative ExaminationCurrent Firm
DONNELLY PENMAN & PARTNERS
CRD#: 104448 / SEC#: , 8-52909
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHRISTIANS, ANDREW CHARLES | TREASURER | 5275038 |
| CUNNINGHAM, GREGORY H | SENIOR VICE PRESIDENT | 6009077 |
| LAMB, JEREMY LOUIS | SECRETARY | 4577771 |
| PENMAN, JAMES CARL | CEO | 2407009 |
| VORHEES, ROY WEBSTER IV | SENIOR VICE PRESIDENT | 4350755 |
| BERNARD, JOHN XAVIER | ASSOCIATE | 6828249 |
| MOLITOR, MICHAEL ARTHUR | ASSOCIATE | 7453889 |
| SADZEWICZ, GERY JOSEPH | CHIEF COMPLIANCE OFFICER | 1090963 |
| SHEA, THOMAS EDWARD | FINOP | 2299633 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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