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Stephen J Ellingsen

Raymond James & Associates, Inc.

Newport Beach, CA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2024-05-21
TX RA APPROVED 2024-05-14
CA RA APPROVED 2024-05-08
  • NV RA
    APPROVED
    Since 2024-05-21
  • TX RA
    APPROVED
    Since 2024-05-14
  • CA RA
    APPROVED
    Since 2024-05-08

Branch Locations

620 Newport Center Drive Suite 1450, Newport Beach, CA 92660 • 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
Morgan Stanley Smith Barney Llc Irvine CA 01/2015 05/2024
Morgan Stanley Private Bank, N.A. New York NY 07/2016 05/2024
Raymond James & Associates Newport Beach CA 05/2024 Present
Morgan Stanley Private Bank, N.A New York NY 05/2016 Present
  • 01/2015 → 05/2024
    Morgan Stanley Smith Barney Llc
    Irvine, CA
  • 07/2016 → 05/2024
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 05/2024 → Present
    Raymond James & Associates
    Newport Beach, CA
  • 05/2016 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-07
  • S66 Uniform Combined State Law Examination
    2016-03-07
Other Names
  • Stephen Ellingsen

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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