Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ellis? Claim Your ProfileEllis Oglesby Moore has been in the financial industry since February 3, 1971. Ellis is currently registered as a broker with Morgan Stanley. Ellis has been registered with Morgan Stanley since June 2009, and has prior experience with Citicorp Global Markets Inc. and Lehman Brothers Inc. Ellis also holds a Series 65 and a Series 63 license. Ellis is registered with the following states: Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin. Ellis has worked in the financial industry for over 50 years and has a strong understanding of the markets.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
05/18/2020 - Present
Wealthpenn.comllc (Purchase NY)
NY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PURCHASE NY)
NY
02/26/1979 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/10/1977 - 01/14/1979
SOGEN-SWISS INTERNATIONAL CORPORATION
NA
12/24/1970 - 04/15/1977
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 5/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/13/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/1981
PC - AMEX Put and Call Exam
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/21/1970
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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