Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd David Ellis is a financial advisor with RBC Capital Markets, LLC. Todd has been in the industry since February 6, 1992 and currently holds active licenses as a registered representative in New York, Texas and Virginia. Todd previously worked for UBS Financial Services Inc., Citigroup Global Markets Inc., Morgan Stanley DW Inc., Prudential Securities Incorporated and Lehman Brothers Inc. Todd has obtained the Series 63, Series 65 and Series 7 licenses and the SIE exam. Todd's specialties are in the following areas: portfolio management for businesses, portfolio management for individuals, portfolio management for pooled investment vehicles and financial 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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
11/04/2020 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
01/09/2009 - 11/04/2020
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
05/02/2003 - 01/27/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/29/1995 - 05/06/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
01/29/1993 - 11/13/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/23/1992 - 02/12/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/18/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Todd Ellis is the right advisor for you? Invested Better is here to help.
