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MARK SCOTT ELLIS
CRD#: 4559774
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 GORHAM ISLAND RD
WESTPORT, CT 06880
WESTPORT, CT 06880
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
Connecticut 10/23/2009
B
New York 1/20/2011
IA
Connecticut 10/23/2009
IA
Texas 4/16/2014
B
Florida 1/20/2011
B
Vermont 1/20/2011
B
Massachusetts 1/20/2011
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/01/2005 - 10/23/2009 | FAIRFIELD, CT | |
B | 12/01/2005 - 10/23/2009 | FAIRFIELD, CT | |
IA | 05/17/2005 - 10/31/2005 | DANBURY, CT | |
B | 05/23/2005 - 10/31/2005 | ST. LOUIS, MO | |
IA | 10/17/2003 - 12/06/2004 | SHELTON, CT | |
B | 10/07/2003 - 12/06/2004 | SPRINGFIELD, MA | |
B | 10/07/2003 - 12/06/2004 | NEW YORK, NY | |
IA | 09/26/2002 - 10/02/2003 | WESTPORT, CT | |
B | 09/09/2002 - 10/02/2003 | WEEHAWKEN, NJ |
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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.