Jeffrey B. 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.
Jeffrey Bowman Ellis, who also goes by Jeff Ellis, Jeffery Bowman Ellis, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1977. Jeffrey had worked at 5 firms and has passed the Series 65, Series 63, PC 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
December 18, 2012 - April 11, 2019
WESTHAMPTON CAPITAL
December 31, 2001 - August 24, 2012
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - August 24, 2012
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
August 12, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 3, 1977 - August 29, 1996
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
WESTHAMPTON CAPITAL
CRD#: 119176 / SEC#: 801-80073
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
PC
Date: 9/7/1977
AMEX Put and Call ExamCurrent Firm
WESTHAMPTON CAPITAL
CRD#: 119176 / SEC#: 801-80073
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 246 |
| AUM (Assets Under Management) | $ 222,553,363 |
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.
