James Cole Alfonso

Employer firm

Ellis Financial Planning CRD 333092

$181M regulatory AUM

Reported services (Item 5G)

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

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2013 → 11/2017
  Ubs
  Sewickley, PA
• 11/2017 → 04/2024
  Rbc Capital Markets, Llc.
  Sewickley, PA
• 04/2024 → 10/2024
  Raymond James Financial Services, Inc.
  Clarksville, TN
• 04/2024 → 10/2024
  Raymond James Financial Services Advisors, Inc.
  Clarksville, TN
• 04/2024 → Present
  Ellis & Company
  Clarksville, TN

Previous Registrations

• 2024-04-30 → 2024-10-31
  Raymond James Financial Services Advisors, Inc
  Clarksville, TN
• 2017-11-30 → 2024-05-08
  Rbc Capital Markets, Llc
  Sewickley, PA
  Clarksville, TN
• 2016-07-04 → 2017-12-10
  Ubs Financial Services Inc.
  Sewickley, PA

Other Businesses

Ellis & Company Not investment related Clarksville, TN DBA/Support Company Advisor 4/2024 0 hrs per month 0 hrs during trading hrs

Exams

• S66 Uniform Combined State Law Examination
  2016-07-02