Barbara Sanders Ellis

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-10-29

TX RA
APPROVED

Since 2020-10-29

Branch Locations

Corpus Christi, TX • 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
Edward Jones	St Louis	MO	10/2005	10/2020
Lpl Financial, Llc	Corpus Christi	TX	10/2020	Present

10/2005 → 10/2020

Edward Jones

St Louis, MO
10/2020 → Present

Lpl Financial, Llc

Corpus Christi, TX

Previous Registrations

2007-02-08 → 2020-10-30

Edward Jones

St. Louis, MO

St Louis, MO

Corpus Christi, TX

Corpus Christi, TX

Other Businesses

1. 11/5/2020 - Ellis Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/05/2020 - 160 Hours Per Month/7 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-01-29
S63	Uniform Securities Agent State Law Examination	2006-01-11

S66 Uniform Combined State Law Examination

2007-01-29
S63 Uniform Securities Agent State Law Examination

2006-01-11

Other Names

Barbara Elise Sanders

View on SEC IAPD