John J Ellis

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-05-31
CA	RA	APPROVED	2018-05-16

TX RA
APPROVED_RES

Since 2019-05-31
CA RA
APPROVED

Since 2018-05-16

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

Poway, 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
Rjl Wealth Management, Llc	San Diego	CA	04/2010	05/2018
Lucia Securities, Llc	S	CA	09/2011	05/2018
Lpl Financial, Llc	San Diego	CA	05/2018	Present

04/2010 → 05/2018

Rjl Wealth Management, Llc

San Diego, CA
09/2011 → 05/2018

Lucia Securities, Llc

S, CA
05/2018 → Present

Lpl Financial, Llc

San Diego, CA

Previous Registrations

2010-04-15 → 2018-06-07

Lucia Capital Group

San Diego, CA
2008-11-24 → 2010-11-10

Raymond J. Lucia Companies, Inc.

San Diego, CA

Other Businesses

1. 05/16/2018 - REAL ESTATE RENTAL/ REAL ESTATE RENTAL/ 1%/ 4607-4613 ALTADENA AVE, SAN DIEGO, CA 92115 2. 05/16/2018 - ELLIS FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ SAN DIEGO, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-09-25

S66 Uniform Combined State Law Examination

2008-09-25

Designations

Other Names

John J Ellis
John J Ellis

View on SEC IAPD