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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-01-11 |
| WA | RA | APPROVED | 2019-01-11 |
| AK | RA | APPROVED | 2018-11-02 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Ellis Group, Inc | Palmer | AK | 04/1996 | Present |
| Signator Investors, Inc. | Palmer | AK | 05/2016 | 11/2018 |
| Osaic Wealth, Inc. | Palmer | AK | 11/2018 | Present |
1. THE ELLIS GROUP, INC. - FIXED INSURANCE POSITION: Broker NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/12/1996 ADDRESS: 541 S Cobb St Ste 205, Palmer AK 99645, United States DESCRIPTION: Sales/Marketing of fixed annuities and non-variable insurance. 2. THE ELLIS GROUP, INC. POSITION: President - IAR NATURE: S Corp. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 60 START DATE: 01/12/1996 ADDRESS: 541 S Cobb St, Ste 205, Palmer AK 99645, United States DESCRIPTION: Sales/marketing of securities, investment advisory, insurance products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 1990-05-24 |
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