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John Cothran Ellis

Morgan Stanley

New Orleans, LA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-04-08
LA RA APPROVED 2019-06-21
  • TX RA
    APPROVED
    Since 2020-04-08
  • LA RA
    APPROVED
    Since 2019-06-21

Branch Locations

1100 Poydras Street Suite 1900, New Orleans, LA 70163 • 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
Ubs New Orleans LA 08/2013 06/2019
Morgan Stanley New Orleans LA 06/2019 Present
Morgan Stanley Private Bank, N.A New York NY 08/2019 Present
  • 08/2013 → 06/2019
    Ubs
    New Orleans, LA
  • 06/2019 → Present
    Morgan Stanley
    New Orleans, LA
  • 08/2019 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2013-08-14 → 2019-07-02
    Ubs Financial Services Inc.
    New Orleans, LA
  • 2005-07-26 → 2013-08-09
    Mmc Securities Llc
    New Orleans, LA
    New Orleans, LA
    New Orleans, LA
    Houston, TX
Other Businesses

*536664- Iwanta LLC; Investment related-Yes; New Orleans, Louisiana; Real Estate; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 06/2012; During business hours: 0; After business hours: 0; Other

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-22
S63 Uniform Securities Agent State Law Examination 2004-03-12
  • S65 Uniform Investment Adviser Law Examination
    2005-07-22
  • S63 Uniform Securities Agent State Law Examination
    2004-03-12

View on SEC IAPD

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Other Offices

MONTZ HARCUS WEALTH MANAGEMENT · NEW ORLEANS, LA
BEACON POINTE ADVISORS, LLC · NEW ORLEANS, LA
EDWARD JONES · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · New Orleans, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
CETERA INVESTMENT ADVISERS LLC · NEW ORLEANS, LA

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