Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Christopher Ellis is a financial advisor registered in 28 states and the District of Columbia. David is associated with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the financial services industry since 1991. David has passed the Series 63, Series 65, Series 7 and SIE exams. David has experience working with high-net-worth individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, state or municipal government entities, and banking or thrift institutions. David can assist clients with a variety of services including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and other services.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
LA
09/13/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BATON ROUGE LA)
IA
Issued 10/28/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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