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James Jarvis Ellis

Edelman Financial Engines

St Charles, MO

CRD 3068261

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Employer firm

Edelman Financial Engines CRD 104510

$326B regulatory AUM 322,130 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2025-04-01
TX RA APPROVED 2025-04-01
  • MO RA
    APPROVED
    Since 2025-04-01
  • TX RA
    APPROVED
    Since 2025-04-01

Branch Locations

St Charles, MO • 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
OrganizationCityStateFromTo
Edelman Financial Engines Santa Clara CA 03/2025 Present
Conduent Business Services Atlanta GA 07/2013 01/2017
Unemployed Atlanta GA 02/2017 05/2018
Arnerich Massena Portland OR 06/2018 03/2021
Alpha Skills Inc Saint Chalres MO 03/2021 06/2024
Unemployed Saint Chalres MO 07/2024 03/2025
  • 03/2025 → Present
    Edelman Financial Engines
    Santa Clara, CA
  • 07/2013 → 01/2017
    Conduent Business Services
    Atlanta, GA
  • 02/2017 → 05/2018
    Unemployed
    Atlanta, GA
  • 06/2018 → 03/2021
    Arnerich Massena
    Portland, OR
  • 03/2021 → 06/2024
    Alpha Skills Inc
    Saint Chalres, MO
  • 07/2024 → 03/2025
    Unemployed
    Saint Chalres, MO
Previous Registrations
  • 2009-06-12 → 2010-11-24
    Scout Investments, Inc.
    Kansas City, MO
  • 2006-06-06 → 2010-03-25
    Hammond Associates, D/B/A Mercer Investment Consulting
    St. Louis, MO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-08-03
S65 Uniform Investment Adviser Law Examination 1998-07-31
  • S63 Uniform Securities Agent State Law Examination
    1998-08-03
  • S65 Uniform Investment Adviser Law Examination
    1998-07-31
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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