Clayton Lee Ellis

Current Employers

Employment History

• 10/2014 → 10/2021
  Ftn Financial Securities Corp
  Memphis, TN
• 10/2014 → 10/2021
  Ftn Financial Capital Markets
  Memphis, TN
• 10/2021 → 09/2024
  B. Riley Wealth Management
  Memphis, TN
• 09/2023 → 09/2024
  B. Riley Wealth Advisors, Inc.
  Memphis, TN
• 09/2024 → Present
  Oppenheimer & Co. Inc.
  Memphis, TN

Previous Registrations

• 2023-09-18 → 2024-09-06
  B. Riley Wealth Advisors, Inc.
  Memphis, TN

Other Businesses

THE FINANCE COMMITTEE IS RESPONSIBLE FOR THE REVIEW OF THE CORPORATIONS OVERALL FIRMWIDE POLICIES INCLUDING BUDGET DEVELOPMENT, CONTRACTS, AND FIRMWIDE PROCEDURES. IN CONJUNCTION WITH STRATEGIC FINAL GOALS AND PLANS AS APPROVED BY THE BOARD OF TRUSTEES, THE COMMITTEE REVIEWS AND PROVIDES RECOMMENDATIONS RELATED TO SUCH GOALS. FUNCTIONS MAY INCLUDE:*COORDINATIONS OF INPUTS FOR BOARD PREPARATIONS OF AN ANNUAL OPERATING BUDGET AND PREPARATIONS OF A THREE YEAR PROJECTED OPERATING BUDGET.*OVER SIGHT OF CASH RESERVES MAINTAINED BY THE SCHOOL*PREPARATIONS OF TUITION RECOMMENDATIONS*PREPARATIONS OF FINANCIAL AID RECOMMENDATIONS*DEVELOPMENT AND OVERSIGHT OF SCHOOL SPENDING POLICY*REVIEW OF AUDITED FINANCIAL STATEMENT*REVIEW OF ALL LONG TERM FINANCIAL OBLIGATIONS. EXPENDITURES AND ACQUISITIONS NOT WITHIN THE SCOPE OF PREVIOUSLY APPROVED BUDGETS, AND CHANGES TO EXISTING OR PROMULGATION OF NEW SCHOOL POLICIES REQUIRE BOARD APPROVAL. NO INVESTMENT RELATED ACTIVITY. ROUGHLY 4-6 HOURS PER YEAR. ADDRESS: 4830 WALNUT GROVE, MEMPHIS, TN 38117.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-09-16
• S63 Uniform Securities Agent State Law Examination
  2015-07-20