CE
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Cindy Ellis
29 Years of Experience
Clinton, MO
1 DisclosureBroker
Cindy Ellis is a registered investment advisor at Raymond James & Associates, INC., based in Clinton, MO, with 29 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Clinton, MO
Get directionsHistory
Regulatory History (1)
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Criminal
September 2025Final Disposition
Other Business Activities
Cindy is the owner/proprietor of Cinderellis Fitness, LLC, where she teaches fitness and yoga classes. She spends a few hours per week on this business.
Employment History
Current Registrations
Raymond James & Associates, INC.
March 2023 - Present · 3 yrs 2 mos
Raymond James & Associates, INC.
March 2023 - Present · 3 yrs 2 mos
Raymond James & Associates, INC.Broker
March 2023 - Present · 3 yrs 2 mos
Previous Registrations
LPL Financial LLC
October 2022 - January 2023 · 3 mos
LPL Financial LLCBroker
October 2022 - January 2023 · 3 mos
Commerce Brokerage Services, INC
May 2008 - September 2022 · 14 yrs 4 mos
Commerce Brokerage Services, INC.Broker
March 2008 - September 2022 · 14 yrs 6 mos
UBS Financial Services INC.Broker
August 2006 - March 2008 · 1 yr 7 mos
UBS Financial Services INC.
August 2006 - March 2008 · 1 yr 7 mos
Piper Jaffray & CO.
August 2004 - August 2006 · 2 yrs
Piper Jaffray & CO.Broker
August 2004 - August 2006 · 2 yrs
UBS Financial Services INC.
February 2003 - September 2004 · 1 yr 7 mos
UBS Financial Services INC.Broker
September 2001 - September 2004 · 3 yrs
Raymond James Financial Services, INC.Broker
September 1999 - December 2000 · 1 yr 3 mos
George K. Baum & CompanyBroker
October 1995 - September 1999 · 3 yrs 11 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.