DE
DE
David Ellis
37 Years of Experience
San Mateo, CA
4 DisclosuresBroker
David Ellis is a registered investment advisor at U.S. Bancorp Advisors, LLC, based in San Mateo, CA, with 37 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Retirement Planning. Their firm serves 3,279 clients with $1.5B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1140 advisors
IM Fee
Planning only
Assets Under Management
$1.5B
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Loading...
Location
390 S El Camino Real, San Mateo, CA, 94402
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2010Denied
Customer Dispute
November 2003Settled
Customer Dispute
October 2002Denied
Customer Dispute
October 2002Denied
Employment History
Current Registrations
U.S. Bancorp Advisors, LLCBroker
February 2026 - Present · 3 mos
U.S. Bancorp Advisors, LLC
February 2026 - Present · 3 mos
Previous Registrations
U.S. Bancorp Investments, INC.
November 2009 - February 2026 · 16 yrs 3 mos
U.S. Bancorp Investments, INC.Broker
November 2009 - February 2026 · 16 yrs 3 mos
Chase Investment Services CORP.Broker
May 2009 - November 2009 · 6 mos
Chase Investment Services CORP.
May 2009 - November 2009 · 6 mos
Wamu Investments, INC.
February 2006 - May 2009 · 3 yrs 3 mos
Great Western Financial Securities CorporationBroker
March 1998 - May 1998 · 2 mos
Wamu Investments, INC.Broker
July 1997 - May 2009 · 11 yrs 10 mos
Asb Financial ServicesBroker
May 1995 - July 1997 · 2 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1989 - January 1995 · 5 yrs 8 mos
F.N. Wolf & CO., INC.Broker
May 1988 - March 1989 · 10 mos
Sherwood Capital, INC.Broker
December 1987 - May 1988 · 5 mos
State Registrations13 states
AKAZCACOHIILNMNVNYORPAVAWA
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.