Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Quinn Ellis is a financial advisor who has been in the industry since 2003. Thomas is currently registered with LPL Financial LLC, and is licensed in California and Texas. Thomas has previously been registered with Securities America, Inc., Foothill Securities, Inc., Park Avenue Securities LLC, and MML Investors Services, Inc. Thomas specializes in providing financial planning, investment advice, and portfolio management services to individuals, families, and businesses. Thomas also has experience working with charitable organizations and pension plans.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
04/05/2023 - Present
LPL Financial LLC (VENTURA CA)
CA
12/08/2016 - 11/12/2019
SECURITIES AMERICA, INC. (VENTURA CA)
CA
12/02/2008 - 12/08/2016
FOOTHILL SECURITIES, INC. (THOUSAND OAKS CA)
CA
06/27/2008 - 12/09/2008
PARK AVENUE SECURITIES LLC (THOUSAND OAKS CA)
CA
05/23/2003 - 06/12/2008
MML INVESTORS SERVICES, INC. (WESTLAKE VILLAGE CA)
BOTH
Issued 06/17/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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