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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Ellis is an investment advisor representative with Cambridge Investment Research Advisors, Inc. James has been in the industry since 1999 and is registered in 25 states. James works with individuals, families, and businesses to provide financial planning, portfolio management, and other investment advisory services. James has experience in a variety of investment areas, including stocks, bonds, mutual funds, and exchange-traded funds. James holds the Series 7, 63, and 65 licenses.
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.
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.
Solicitation fees from 3rd party money managers
1
2
PA
08/19/2016 - Present
Cambridge Investment Research Advisors, Inc. (Altoona PA)
PA
11/05/2008 - 11/23/2011
SANDERS MORRIS HARRIS INC. (ALTOONA PA)
PA
06/30/2006 - 11/03/2008
QA3 FINANCIAL CORP. (ALTOONA PA)
NY
01/15/2004 - 07/20/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
06/08/1999 - 01/06/2004
EDWARD JONES (ST. LOUIS MO)
IA
Issued 03/08/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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