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Detailed Report
THOMAS ROBERT ELLIS
CRD#: 6441376
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 SURPRISE, AZ
Registration History
201520162017201820192020202120222023202420252026IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2016 - Present (8 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2015 - Present (9 years)
License(s)

State Registrations

B
Arizona 3/11/2021
B
Iowa 12/8/2023
IA
Arizona 3/11/2021
IA
Iowa 12/11/2023

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
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
SURPRISE, AZ
Registered with this firm since 5/11/2016
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
SURPRISE, AZ
Registered with this firm since 10/30/2015
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.