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Detailed Report
LARRY DALE ELLIS
CRD#: 6179007
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 16401 N. May
EDMOND, OK 73013
CETERA INVESTMENT SERVICES LLCCRD#: 15340 16401 N. May
EDMOND, OK 73013
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - 2015 (1 year)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2021 (4 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 3/22/2024
IA
Oklahoma 5/3/2021
B
Kansas 8/17/2021
B
Texas 4/27/2023
B
Oklahoma 5/3/2021
IA
Texas 4/27/2023

SRO Registrations

B
 FINRA

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
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
16401 N. May, EDMOND, OK 73013
Registered with this firm since 5/3/2021
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
16401 N. May, EDMOND, OK 73013
Registered with this firm since 5/3/2021
Previous Registration(s)
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IA
 08/16/2016 - 05/24/2021 LPL FINANCIAL LLC (CRD#:6413) OKLAHOMA CITY, OK
B
 08/16/2016 - 05/24/2021 LPL FINANCIAL LLC (CRD#:6413) OKLAHOMA CITY, OK
IA
 07/13/2015 - 08/25/2016 ARVEST WEALTH MANAGEMENT (CRD#:42057) DEL CITY, OK
B
 07/13/2015 - 08/25/2016 ARVEST WEALTH MANAGEMENT (CRD#:42057) DEL CITY, OK
IA
 07/31/2014 - 07/20/2015 BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS (CRD#:29357) ARDMORE, OK
B
 07/31/2014 - 07/20/2015 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) ARDMORE, OK
IA
 07/22/2013 - 07/30/2014 EDWARD JONES (CRD#:250) PIEDMONT, OK
B
 05/09/2013 - 07/30/2014 EDWARD JONES (CRD#:250) PIEDMONT, OK
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.