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CRAIG ANTHONY ELLIS
CRD#: 4484431
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 299 Park Avenue
8th,9th and 11th floor
NEW YORK, NY 10171
Registration History
2008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - Present (17 years)
License(s)

State Registrations

B
Alaska 8/12/2021

B
New Jersey 8/13/2014

B
Arizona 8/12/2021

B
New York 6/11/2016

B
California 2/15/2017

IA
New York 10/26/2021

B
Colorado 8/12/2021

B
North Carolina 8/12/2021

B
Connecticut 6/20/2016

B
Ohio 8/12/2021

B
Delaware 8/12/2021

B
Oklahoma 6/18/2024

B
District of Columbia 8/12/2021

B
Oregon 6/20/2016

B
Florida 6/20/2016

B
Pennsylvania 8/12/2021

B
Georgia 8/12/2021

B
Rhode Island 8/12/2021

B
Hawaii 5/18/2023

B
South Carolina 8/12/2021

B
Illinois 6/20/2016

B
South Dakota 7/27/2023

B
Indiana 8/12/2021

B
Tennessee 8/12/2021

B
Kansas 8/12/2021

B
Texas 8/12/2021

B
Louisiana 8/12/2021

B
Utah 8/13/2021

B
Maryland 8/12/2021

B
Vermont 8/12/2021

B
Massachusetts 6/20/2016

B
Virginia 6/20/2016

B
Minnesota 6/24/2022

B
Washington 8/12/2021

B
Missouri 8/12/2021

B
Wisconsin 8/12/2021

B
New Hampshire 8/11/2023

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX 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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
299 Park Avenue 8th,9th and 11th floor, NEW YORK, NY 10171
Brooklyn, NY
Registered with this firm since 10/26/2021

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
299 Park Avenue 8th,9th and 11th floor, NEW YORK, NY 10171
Brooklyn, NY
Registered with this firm since 5/24/2007

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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.