Ellis GrossnickleCRD Number: 1283246
Current Firm: Cambridge Investment Research Advisors, Inc.
Ellis Grossnickle (CRD# 1283246) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Harrisburg, PA and has over 25 years of experience in the finance industry.
Thrivent Investment Management Inc.
Northwestern Mutual Investment Services,llc
Royal Alliance Associates, Inc.
|Cambridge Investment Research, Inc.||Fairfield, IA||Jan 2010 - Current||8|
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||Jan 2010 - Current||8|
|Ing Financial Partners||Harrisburg, PA||Apr 2005 - Dec 2009||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1992|
|S65||NASAA Investment Advisors Law Examination||Oct 2005|
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:
- Employer Dispute
- Customer Dispute
Total Assets Under Management25,187MILLIONS
Total Number of Accounts152,412ACCOUNTS
Average Account Value$165,257
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
- Educational seminars/workshops
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV