• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
MELVIN J. ELLIS III
JIM ELLIS, M. JAMES ELLIS III, MELVIN JAMES ELLIS III, MELVIN J. ELLIS III III, MELVIN JAMES ELLIS III III
CRD#: 1533170
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3800 Glenwood Avenue
Suite 500
RALEIGH, NC 27612
Registration History
199019952000200520102015202020252 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - Present (15 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1989 - 2006 (16 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1988 - 1989 (1 year)BCAROLINA SECURITIES CORPORATION (CRD# 142)1987 - 1988 (<1 year)BMARION BASS SECURITIES CORPORATION (CRD# 7961)1986 - 1987 (<1 year)IALEGG MASON WOOD WALKER INC (CRD# 6555)2001 - 2006 (4 years)
License(s)

State Registrations

B
Colorado 2/16/2017

IA
North Carolina 6/1/2009

B
Connecticut 6/10/2024

B
Oklahoma 1/2/2020

B
District of Columbia 10/16/2015

B
Pennsylvania 2/1/2022

B
Florida 9/22/2021

B
South Carolina 6/1/2009

B
Minnesota 3/23/2018

B
Texas 11/22/2017

B
Nebraska 4/10/2019

IA
Texas 4/23/2020

B
New York 10/14/2021

B
Virginia 6/1/2009

B
North Carolina 6/1/2009

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
3800 Glenwood Avenue Suite 500, RALEIGH, NC 27612
Registered with this firm since 6/1/2009

B
MORGAN STANLEY (CRD#:149777)
3800 Glenwood Avenue Suite 500, RALEIGH, NC 27612
Registered with this firm since 6/1/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) RALEIGH, NC
B
02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) RALEIGH, NC
IA
12/31/2001 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) RALEIGH, NC
B
08/04/1989 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
02/24/1988 - 08/08/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
B
07/22/1987 - 02/24/1988 CAROLINA SECURITIES CORPORATION (CRD#:142)
B
08/21/1986 - 07/25/1987 MARION BASS SECURITIES CORPORATION (CRD#:7961)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.