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Nicholas W. Sun

ELLIS INVESTMENT PARTNERS
Berwyn, PA 19312
Some features on this profile are disabled
CRD#: 6908936
NS

Professional summary

Nicholas Woo-hsiung Sun is a registered financial advisor currently at ELLIS INVESTMENT PARTNERS, LLC located in Berwyn, Pennsylvania.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Nicholas has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Woo-hsiung Sun's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 16, 2018 - Present

ELLIS INVESTMENT PARTNERS, LLC

Office #1: 920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312
RIA
CRD#: 157669
Berwyn, PA

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".
EI
ELLIS INVESTMENT PARTNERS, LLC
ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA
Registered Investment Advisory firm - (1/6/2012 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.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(2/16/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2018
Uniform Investment Adviser Law Examination

Current Firm

EI
ELLIS INVESTMENT PARTNERS, LLC
ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA
Registered Investment Advisory firm - (1/6/2012 Approved)
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Contact information

Main Address
920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312
Mailing Address
Phone number
(484) 320-6300
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts823
AUM (Assets Under Management)$ 916,741,818

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

ELLIS INVESTMENT PARTNERS, LLC

CRD#: 157669Berwyn, PA 19312

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