Mike Ellis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-09-13
MD	RA	APPROVED	2011-05-06

TX RA
APPROVED_RES

Since 2016-09-13
MD RA
APPROVED

Since 2011-05-06

Branch Locations

1 Park Pl, Annapolis, MD 21401 • United States

One Bryant Park, New York, NY 10036 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch	Annapolis	MD	04/2011	Present

04/2011 → Present

Merrill Lynch

Annapolis, MD

Previous Registrations

2009-06-01 → 2011-04-28

Morgan Stanley

Annapolis, MD

Washington, DC
2006-09-18 → 2009-06-01

Citigroup Global Markets Inc.

Annapolis, MD

Bowie, MD

New York, NY

Bowie, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-09-11
S63	Uniform Securities Agent State Law Examination	2005-10-29

S65 Uniform Investment Adviser Law Examination

2006-09-11
S63 Uniform Securities Agent State Law Examination

2005-10-29

Other Names

Michael Francis Ellis
Michael Francis Ellis Jr.
Michael Francis Ellis
Michael Francis Ellis
Michael Francis Ellis

View on SEC IAPD

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