Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clayton? Claim Your ProfileClayton Lee Ellis is a registered representative with Oppenheimer & Co. Inc. Clayton Ellis has been in the financial services industry since June 24, 2011. Clayton Ellis is registered with the state of Tennessee, and is also licensed to sell securities in Alabama, Arkansas, California, Colorado, Florida, Georgia, Hawaii, Illinois, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, West Virginia, and Wyoming. Before joining Oppenheimer & Co. Inc., Clayton Ellis was associated with B. RILEY WEALTH MANAGEMENT and B. RILEY SECURITIES, INC. Clayton Ellis is also a registered investment adviser representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TN
09/10/2024 - Present
Oppenheimer & Co. Inc. (MEMPHIS TN)
TN
10/11/2021 - 09/06/2024
B. RILEY WEALTH MANAGEMENT (Memphis TN)
TN
10/28/2021 - 11/15/2022
B. RILEY SECURITIES, INC. (Memphis TN)
TN
01/26/2015 - 09/27/2021
FHN FINANCIAL SECURITIES CORP. (MEMPHIS TN)
TN
03/27/2008 - 11/10/2011
CARTY & COMPANY, INC. (MEMPHIS TN)
IA
Issued 09/16/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2015
Series 52 - Municipal Securities Representative Examination
BC
Issued 01/26/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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