Stephen Gregg Ellis

Current Employers

Employment History

• 07/1993 → 09/2025
  Avantax Investment Services, Inc.
  Cary, NC
• 03/1996 → 09/2025
  Avantax Advisory Services
  Cary, NC
• 07/1993 → Present
  Ellis Brothers, Inc.
  Cary, NC
• 03/2012 → Present
  Finra Dispute Resolution Arbitrator
  New York, NY
• 06/2012 → Present
  National Futures Association Arbitrator
  Chicago, IL
• 01/2014 → 09/2025
  Avantax Insurance Agency, Llc
  Cary, NC
• 07/2012 → Present
  Mediator
  Cary, NC
• 06/2022 → Present
  Green Level Crossing Communtiy Association
  Cary, NC
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2001-12-31 → 2025-09-05
  Avantax Advisory Services
  Cary, NC

Other Businesses

1Coastal Federal Credit Union~'NIR'~1000 Saint Albans Drive, Suite 200~Raleigh~NC~27609~Other~Other~9/25/2014~1hrs~0hrs~Serving as a volunteer on the nominating committee. I help with candidate selections and governance of this function. 2.) Ellis Brothers, Inc.~'IR'~547 Keisler Drive, Suite 102~Cary~NC~27518~Insurance Agent~Owner~12/22/2009~8hrs~4hrs~Running illustrations, quotes, and completing applications for insurance products. 3.) FINRA Dispute Resolution Arbitrator~'NIR'~One Liberty Plaza, 165 Broadway, 52nd Floor~New York~NY~10006~Other~Independent Contractor~3/19/2012~3hrs~3hrs~In this capacity, I will serve on an arbitration panel and hear cases. 4.) Mediator~'NIR'~547 Keisler Drive, Suite 102~Cary~NC~27518~Other~Owner~7/31/2012~2hrs~2hrs~In this capacity, I will serve as a mediator and mediate cases filed in Superior Court that are sent to Mediation. 5.)National Futures Association Arbitrator~'NIR'~300 S. Riverside Plaza, Suite 1800~Chicago~IL~60606~Other~Independent Contractor~6/18/2012~1hrs~1hrs~I serve as an Arbitrator on panels that hear cases filed with the National Futures Association. 6.)GREEN LEVEL CROSSING COMMUNTIY ASSOCIATION POSITION: Board Member NATURE: This is the Home Owner's Association where I currently live. The Board will help implement and handle the association's rules and governance. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/09/2022 ADDRESS: 547 Keisler Drive, Suite 102, Cary NC 27518, United States DESCRIPTION: I will be a volunteer board member and serve a two year term. 7) Coastal Federal Credit Union; Volunteer Committee Member; Serving as a volunteer on the nominating committee for the Coastal Federal Credit Union. In this capacity I help nominate board members and help with the governance of this function.; NIR; 0; 09/25/2014; 1000 Saint Albans Drive, Suite 200 Raleigh NC 27609; Serving as a volunteer on the nominating committee. I help with candidate selections and governance of this function. 8)National Futures Association Arbitrator; Contractor; I will serve as an Arbitrator on panels that hear cases filed with the National Futures Association.; NIR; 1; 06/18/2012; 300 S. Riverside Plaza, Suite 1800 Chicago IL 60606; I serve as an Arbitrator on panels that hear cases filed with the National Futures Association.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-01-25
• S63 Uniform Securities Agent State Law Examination
  1993-08-12

Designations