Individual Firm
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LARRY JOSEPH ELLIS
CRD#: 1523886
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 200 Central Avenue
24th Floor
ST. PETERSBURG, FL 33701
24th Floor
ST. PETERSBURG, FL 33701
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10/14/2003
Customer Dispute
Denied
State Registrations
B
Arizona 11/8/2016
B
North Carolina 6/7/2007
B
Arkansas 3/5/2025
B
Ohio 4/5/2007
B
California 3/29/2007
B
Oregon 5/4/2023
B
Florida 2/16/2007
B
Pennsylvania 12/5/2011
IA
Florida 3/13/2007
B
South Carolina 8/28/2019
B
Georgia 4/5/2007
B
Tennessee 7/31/2018
B
Illinois 6/19/2019
B
Texas 6/20/2018
B
Maryland 4/5/2007
IA
Texas 9/12/2022
B
Michigan 4/20/2023
B
Utah 11/8/2024
B
New York 5/30/2007
B
Virginia 5/3/2019
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 3/13/2007
B
Registered with this firm since 2/16/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/16/1995 - 02/20/2007 | SAINT PETERSBURG, FL | |
B | 03/10/1995 - 02/20/2007 | SAINT PETERSBURG, FL | |
B | 01/21/1988 - 08/31/1988 | ||
B | 08/21/1986 - 01/23/1988 |
SAINT PETERSBURG, FL
03/10/1995 - 02/20/2007
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.