Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mike? Claim Your ProfileMike Ellis is a financial advisor who has been in the industry since 2005. Mike is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Mike has a wide range of experience and expertise, including a Series 7, Series 3, Series 31, Series 63, and Series 65 licenses. Mike also holds a General Securities Principal Examination (Series 24) and a General Securities Sales Supervisor - General Module Examination (Series 10) license. Mike is also a registered investment advisor in Maryland and Texas. Mike's areas of specialization include financial planning, portfolio management, and retirement planning.
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
MD
09/13/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ANNAPOLIS MD)
DC
06/01/2009 - 04/28/2011
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
MD
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ANNAPOLIS MD)
MD
09/12/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 09/11/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/09/2008
Series 24 - General Securities Principal Examination
BC
Issued 02/14/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/31/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/2007
Series 3 - National Commodity Futures Examination
BC
Issued 11/11/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 09/09/2005
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
Not sure Mike Ellis is the right advisor for you? Invested Better is here to help.
