John Ellis is a registered investment advisor, based in Houston, TX, with 42 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Houston, TX
Get directionsHistory
Regulatory History (1)
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Customer Dispute
January 2005Denied
Employment History
Current Registrations
J. Alden Associates, INC.
June 2026 - Present · 4 mos
Alden Investment Group
June 2026 - Present · 4 mos
J. Alden Associates, INC.Broker
June 2026 - Present · 4 mos
Previous Registrations
MML Investors Services, LLC
August 2023 - November 2025 · 2 yrs 3 mos
MML Investors Services, LLCBroker
August 2023 - November 2025 · 2 yrs 3 mos
LPL Financial LLC
May 2022 - August 2023 · 1 yr 3 mos
LPL Financial LLCBroker
May 2022 - August 2023 · 1 yr 3 mos
CUNA Brokerage Services, INC.
January 2008 - May 2022 · 14 yrs 4 mos
CUNA Brokerage Services, INC.Broker
January 2008 - May 2022 · 14 yrs 4 mos
Zions Direct, INC.Broker
September 2006 - December 2007 · 1 yr 3 mos
Brighton Presidio Capital Management
December 2005 - June 2006 · 6 mos
Raymond James & Associates, INC.
April 2004 - November 2005 · 1 yr 7 mos
Raymond James & Associates, INC.Broker
March 2004 - November 2005 · 1 yr 8 mos
Citigroup Global Markets INC.
July 2000 - April 2004 · 3 yrs 9 mos
Citigroup Global Markets INC.Broker
July 2000 - April 2004 · 3 yrs 9 mos
Fidelity Brokerage Services, INC.Broker
May 1986 - July 2000 · 14 yrs 2 mos
Fidelity Brokerage Services, INC.Broker
April 1986 - April 1986 · 0 mos
Dominick & Dominick, IncorporatedBroker
April 1985 - April 1986 · 1 yr
Smith Barney, Harris Upham & CO., IncorporatedBroker
January 1983 - February 1985 · 2 yrs 1 mo
State Registrations2 states
NMTX
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.
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