Best Investors Account Sign in

Michael Charles Ellis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bethesda, MD

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2008-05-14
TX RA APPROVED 2008-05-14
  • MD RA
    APPROVED
    Since 2008-05-14
  • TX RA
    APPROVED
    Since 2008-05-14

Branch Locations

7501 Wisconsin Ave, Bethesda, MD 20814 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bethesda MD 05/2008 Present
Bank Of America, N.A. Bethesda MD 06/2011 Present
Previous Registrations
  • 2007-04-02 → 2008-05-15
    Morgan Stanley & Co. Llc
    Potomac, MD
  • 2006-04-11 → 2007-04-02
    Morgan Stanley Dw Inc.
    Potomac, MD
    Potomac, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-11
S63 Uniform Securities Agent State Law Examination 1995-11-16
  • S65 Uniform Investment Adviser Law Examination
    2001-05-11
  • S63 Uniform Securities Agent State Law Examination
    1995-11-16
Designations
Other Names
  • Mike Ellis
  • Mike Ellis

View on SEC IAPD

Other Firms

LGG FINANCIAL
BLUE SPARROW FUNDS GP LLC
KALAMATA ASSET MANAGEMENT LLC
GLASSY MOUNTAIN ADVISORS, INC.
NOORDZEE CAPITAL LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
HIGHTOWER ADVISORS, LLC
GOLDEN WEALTH STRATEGIES

Other Investors

Brian Craig Luts
DAVID MICHAEL GREENLEIGH
JAMIE LYNN BIGSBY
Brian Hawthorne-Codato
William K McCaffrey
ALEXANDER SIDNEY JOHANNES LEVY
JOHN BUSCO
FREDERICK THOMAS TURNER

Other Offices

LGG FINANCIAL · BETHESDA, MD
BLUE SPARROW FUNDS GP LLC · BETHESDA, MD
KALAMATA ASSET MANAGEMENT LLC · BETHESDA, MD
GLASSY MOUNTAIN ADVISORS, INC. · BETHESDA, MD
NOORDZEE CAPITAL LLC · BETHESDA, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BETHESDA, MD
HIGHTOWER ADVISORS, LLC · BETHESDA, MD
GOLDEN WEALTH STRATEGIES · Bethesda, MD

More in Bethesda, MD

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor