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Rollin Charles Ellis

Raymond James Financial Services Advisors, Inc

Kirkland, WA

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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2018-02-01
CA RA APPROVED 2017-12-13
  • WA RA
    APPROVED
    Since 2018-02-01
  • CA RA
    APPROVED
    Since 2017-12-13

Branch Locations

Kirkland, WA • 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
Raymond James Financial San Diego CA 10/2016 12/2017
Unemployed San Diego CA 05/2016 10/2016
Raymond James Financial Services, Inc. Kirkland WA 12/2017 Present
  • 10/2016 → 12/2017
    Raymond James Financial
    San Diego, CA
  • 05/2016 → 10/2016
    Unemployed
    San Diego, CA
  • 12/2017 → Present
    Raymond James Financial Services, Inc.
    Kirkland, WA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-16
S63 Uniform Securities Agent State Law Examination 2010-08-31
  • S65 Uniform Investment Adviser Law Examination
    2012-08-16
  • S63 Uniform Securities Agent State Law Examination
    2010-08-31

View on SEC IAPD

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