Nicholas Ellis is a registered investment advisor, based in Austin, TX, with 42 years of industry experience.
Location
5707 Southwest Parkway, Building 2, Suite 400, Austin, TX, 78735
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Regulatory History (4)
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Customer Dispute
February 2025Settled
Regulatory
September 1997Final
Regulatory
December 1995Final
Customer Dispute
March 1993Settled
Other Business Activities
Nicholas is the President of Ellis Advisory Group, where he prepares tax returns, dedicating a few hours per week to this investment-related activity. He is also the President of Dynamic Investment Strategies, Inc., where he also prepares tax returns, dedicating minimal time.
Employment History
Current Registrations
Kestra Investment Services, LLC
February 2025 - Present · 1 yr 3 mos
Kestra Advisory Services, LLC
February 2025 - Present · 1 yr 3 mos
Kestra Investment Services, LLCBroker
February 2025 - Present · 1 yr 3 mos
Previous Registrations
Centaurus Financial, INC.
April 2013 - February 2025 · 11 yrs 10 mos
Centaurus Financial, INC.Broker
August 2000 - February 2025 · 24 yrs 6 mos
Standard Investment Chartered IncorporatedBroker
May 1995 - August 2000 · 5 yrs 3 mos
Robert Scott Securities, INC.Broker
September 1993 - May 1995 · 1 yr 8 mos
Corporate Benefit Securities, INC.Broker
May 1992 - September 1993 · 1 yr 4 mos
Titan/value Equities Group, INC.Broker
May 1983 - May 1992 · 9 yrs
State Registrations16 states
ARAZCACOIDILKSNCNVNYOHPAUTVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.