Stephen Ellis
Stephen Ellis is a CFA-designated registered investment advisor at Cetera Investment Advisers LLC, based in Cary, NC, with 32 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
547 Keisler Dr., Ste 102, Cary, NC, 27511
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen is an insurance agent and owner of Ellis Brothers, Inc., focusing on insurance products, and an agent for Equity Indexed Annuities. He also serves as an arbitrator and mediator, and volunteers on committees and boards, dedicating minimal time to each of these roles.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
State Registrations14 states
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