Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
JOHN JOSEPH ELLIS
JOHN ELLIS
CRD#: 5422812
IA
Investment Adviser
B
Previous Broker
FORTHRIGHT WEALTH MANAGEMENT, LLCCRD#: 220515 5755 NORTH POINT PKWY, SUITE 47
ALPHARETTA, GA 30022
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2010 (1 year)2 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2015 (1 year)IAFORTHRIGHT WEALTH MANAGEMENT, LLC (CRD# 220515)2015 - Present (9 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2015 - 2023 (8 years)
License(s)

State Registrations

IA
Georgia 6/1/2015
IA
Texas 6/9/2016
Current Registration(s)
IA
FORTHRIGHT WEALTH MANAGEMENT, LLC (CRD#:220515)
5755 NORTH POINT PKWY, SUITE 47, ALPHARETTA, GA 30022
Registered with this firm since 6/1/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/15/2015 - 12/31/2023 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Alpharetta, GA
IA
 02/21/2014 - 05/19/2015 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) ALPHARETTA, GA
B
 02/20/2014 - 05/19/2015 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) ALPHARETTA, GA
IA
 11/08/2012 - 01/06/2014 PNC INVESTMENTS (CRD#:129052) DULUTH, GA
B
 11/01/2012 - 01/06/2014 PNC INVESTMENTS (CRD#:129052) DULUTH, GA
IA
 06/17/2009 - 11/16/2010 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) LILBURN, GA
B
 06/16/2009 - 11/16/2010 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) LILBURN, GA
IA
 10/18/2007 - 06/16/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) MARIETTA, GA
B
 09/26/2007 - 06/16/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) MARIETTA, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.