Charles M. 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.
Charles Minor Ellis, who also goes by Chuck Ellis, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 6 firms and has passed the Series 65, Series 63, Series 5, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2012 - March 26, 2014
VAUGHAN NELSON TRUST COMPANY
January 9, 2012 - April 29, 2022
VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.
May 10, 1996 - June 19, 2000
MIDLAND SECURITIES, LTD
July 2, 1986 - February 16, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1978 - July 14, 1986
E. F. HUTTON & COMPANY INC
June 1, 1977 - July 10, 1978
WHITE, WELD & CO. INCORPORATED
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 5
Date: 2/18/1987
Interest Rate Options ExaminationPC
Date: 5/21/1977
AMEX Put and Call ExamSeries 8
Date: 3/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VAUGHAN NELSON TRUST COMPANY
CRD#: 105782 / SEC#: 801-29438
Contact information
Documents
Red Flags
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