John Jr. Ellis

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-05-31
CA	RA	APPROVED	2018-11-12

TX RA
APPROVED

Since 2019-05-31
CA RA
APPROVED

Since 2018-11-12

Branch Locations

1410 Neotomas Ave 2Nd Flr, Santa Rosa, CA 95405 • United States

11440 West Bernardo Ct Suite 300, Room # 306, San Diego, CA 92127-1631 • United States

2570 N First St, Ste 200, San Jose, CA 95131 • United States

San Francisco, CA • 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

Organization	City	State	From	To
Lucia Capital Group	San Diego	CA	11/2017	05/2018
Currency Capital	Los Angeles	CA	07/2016	04/2017
Unemployed	Poway	CA	04/2017	11/2017
Lpl Financial, Llc	San Diego	CA	05/2018	Present

11/2017 → 05/2018

Lucia Capital Group

San Diego, CA
07/2016 → 04/2017

Currency Capital

Los Angeles, CA
04/2017 → 11/2017

Unemployed

Poway, CA
05/2018 → Present

Lpl Financial, Llc

San Diego, CA

Other Businesses

1. 12/26/2018 - Ellis Financial Group, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/07/2018 - 160 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-11-07

S66 Uniform Combined State Law Examination

2018-11-07

Other Names

John Joseph Ellis
John Joseph Ellis
John Ellis
John Ellis

View on SEC IAPD