Richard Ray Ellis

Employer firm

Transamerica Retirement Advisors, LLC CRD 107319

$18.8B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Educational seminars

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

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

Current Employers

Employment History

• 10/2011 → 10/2022
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 08/2017 → 10/2022
  Charles Schwab Bank
  Lone Tree, CO
• 01/2024 → 08/2025
  Empower Financial Services, Inc
  Greenwood Village, CO
• 01/2024 → 08/2025
  Empower Advisory Group, Llc
  Greenwood Village, CO
• 10/2022 → 01/2024
  Unemployed
  Lone Tree, CO
• 09/2025 → Present
  Transamerica Investors Securities, Llc
  Naples, FL
• 09/2025 → Present
  Transamerica Life Insurance Company
  Naples, FL

Previous Registrations

• 2024-02-15 → 2025-08-21
  Empower Advisory Group, Llc
  Naples, FL
  Wellesley Hills, MA
  Greenwood Village, CO
  Norfolk, MA
• 2016-10-28 → 2022-11-03
  Charles Schwab & Co., Inc.
  Lone Tree, CO
  Lone Tree, CO
  Lone Tree, CO

Exams

• S66 Uniform Combined State Law Examination
  2016-10-28
• S63 Uniform Securities Agent State Law Examination
  2015-03-02

Other Names

• Richard Ray Ellis Iii
• Richard Ray Ellis
• Richard Ray Ellis