Scott Patrick Ellis

Current Employers

Employment History

• 01/2010 → 11/2016
  Wells Fargo Advisors Llc
  Charlotte, NC
• 11/2016 → 05/2021
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 05/2021 → Present
  Raymond James & Associates, Inc.
  Charlotte, NC

Previous Registrations

• 2010-01-29 → 2021-05-21
  Wells Fargo Clearing Services, Llc
  Honolulu, HI
  Charlotte, NC
• 2009-06-01 → 2010-02-11
  Morgan Stanley
  Charlotte, NC
• 2001-12-31 → 2009-06-01
  Citigroup Global Markets Inc.
  Charlotte, NC
  Charlotte, NC

Other Businesses

(1)Name of Business: Rental of Excess Marriott Timeshare Points Address: 4717 Cedar Ridge Ln, Matthews, NC, 28104, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 12/01/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: We own 6 Marriott Timeshare weeks in 3 locations that are NOT attached to any particular unit or date. All are exchangeable for points and any excess points can be rented to other people to use at ANY Marriott timeshare. I help wife and father as needed. (2)Name of Business: Topher's Castle at Lavasurfer.com Address: 4717 Cedar Ridge Ln, Matthews, NC, 28104, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 01/01/1997 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am owner and webmaster of this non-investment related educational resource website. Related activities include co-authoring "The Great American Cereal Book" 368 page hardcover (Abrams, 2012), and guest appearing on radio shows to talk about cereal.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-08-27
• S63 Uniform Securities Agent State Law Examination
  1983-01-08