Dominique Ellis, financial advisor Alpharetta GA
81 score

Dominique Ellis

CRD Number: 1026054
Current Firm: Pnc Investments

Dominique Ellis (CRD# 1026054) is an Investment Advisor Representative working at Pnc Investments in Alpharetta, GA and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Pnc Investments Pittsburgh, PA Jan 2012 - Current 4
Hancock Investment Services, Inc. Pensacola, FL Jul 2010 - Jan 2012 1
Suntrust Investment Services, Inc. Atlanta, GA May 2009 - Jul 2010 1
Unemployed Gulf Breeze, FL Dec 2008 - May 2009 < 1
Planmember Securities Corporation Carpinteria, CA Jul 2008 - Dec 2008 < 1
Retired Pensacola Beach, FL Dec 2006 - Jul 2008 1
Wachovia Securities, LLC Atlanta, GA Jun 2003 - Dec 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1982
S65 NASAA Investment Advisors Law Examination Jul 1999
S66 NASAA Uniform Combined State Law Examination May 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Dominique D. Ellis
Phone Number: 800-762-6111
Firm Website: http://www.pnc.com
Registered State(s):
  • FL
  • GA
By the Numbers
  • Total Assets Under Management
    11,195
    MILLIONS
  • Total Number of Accounts
    78,826
    ACCOUNTS
  • Average Account Value
    $142,023
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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