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Detailed Report
BERT WAYNE ELLIS
CRD#: 5600303
IA
Investment Adviser
B
Previous Broker
PINNACLE PORTFOLIO ADVISORSCRD#: 287622 1525 S. DAVID LANE
BOISE, ID 83705
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2017 (4 years)IAPINNACLE PORTFOLIO ADVISORS (CRD# 287622)2017 - Present (8 years)
Disclosure(s)
View By:
9/9/1998
Criminal
Final Disposition
License(s)

State Registrations

IA
California 7/6/2017
IA
Washington 11/16/2020
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Idaho 3/24/2017
Current Registration(s)
IA
PINNACLE PORTFOLIO ADVISORS (CRD#:287622)
1525 S. DAVID LANE, BOISE, ID 83705
Registered with this firm since 3/24/2017
Previous Registration(s)
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 12/14/2012 - 03/27/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOISE, ID
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 12/14/2012 - 03/27/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOISE, ID
IA
 06/01/2009 - 12/19/2012 MORGAN STANLEY (CRD#:149777) BOISE, ID
B
 06/01/2009 - 12/19/2012 MORGAN STANLEY (CRD#:149777) BOISE, ID
IA
 02/06/2009 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOISE, ID
B
 02/04/2009 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOISE, ID
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.