Mike Ellis

CRD 4212211 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Annapolis, MD

IA RegisteredBroker

Also appears in the source record as: Michael Francis Ellis Jr; Michael Francis Ellis Jr.; Michael Francis Ellis; Michael Francis Ellis Jr. Jr.

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 24Series 10Series 9SIESeries 3Series 31Series 7
Registered states (2): Maryland · Texas
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Annapolis, MD · IA capacity

May 6, 2011 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Annapolis, MD · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Apr 28, 2011
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Apr 28, 2011
Citigroup Global Markets Inc.
IA capacity

Sep 18, 2006 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Feb 21, 2006 → Jun 1, 2009
Legg Mason Wood Walker, Incorporated
BD capacity

Sep 12, 2005 → Feb 21, 2006

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4212211 ↗ FINRA BrokerCheck record for CRD 4212211 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.