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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

John Ramsay Ellis

Advisor at ALDEN INVESTMENT GROUP

Houston, TX | WAYNE, PA

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Search this name across graphsid dfx:ria:23feb968-d0d2-10ad-17df-9911c5ff8147

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jul 20, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALDEN INVESTMENT GROUP
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 15, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Feb 15, 1983
First registration: Jul 20, 2000
Dual registered: yes, broker-dealer
Other names: JOHN RAMSAY ELLIS|JOHN RAMSEY ELLIS|RAMSAY JOHN ELLIS
IAPD individual key: 1089311

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALDEN INVESTMENT GROUP	Independent wealth	Jun 26, 2026	n/a	yes	Houston, TX\|WAYNE, PA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Aug 11, 2023	Nov 6, 2025	no	Boston, MA\|Houston, TX\|Houston, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2022	Aug 22, 2023	no	HOUSTON, TX	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jan 9, 2008	May 18, 2022	no	DALLAS, TX\|HOUSTON, TX	Previous registration
BRIGHTON PRESIDIO CAPITAL MANAGEMENT	n/a	Dec 16, 2005	Jun 14, 2006	no	HOUSTON, TX	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Apr 15, 2004	Nov 18, 2005	no	HOUSTON, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 20, 2000	Apr 2, 2004	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	ALDEN INVESTMENT GROUP	Nov 6, 2025	Jun 26, 2026	232	Firm change	Ibd to RIA
LPL FINANCIAL LLC	MML INVESTORS SERVICES, LLC	Aug 22, 2023	Aug 11, 2023	-11	Firm change	Ibd to ibd
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
BRIGHTON PRESIDIO CAPITAL MANAGEMENT	CUNA BROKERAGE SERVICES, INC.	Jun 14, 2006	Jan 9, 2008	574	Firm change after gap	Other
RAYMOND JAMES & ASSOCIATES, INC.	BRIGHTON PRESIDIO CAPITAL MANAGEMENT	Nov 18, 2005	Dec 16, 2005	28	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	RAYMOND JAMES & ASSOCIATES, INC.	Apr 2, 2004	Apr 15, 2004	13	Firm change	Other

Relationships

Registered with (7)

→ ALDEN INVESTMENT GROUPRegistered adviserregistration: current employment
Jun 26, 2026 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Aug 11, 2023 to Nov 6, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 18, 2022 to Aug 22, 2023factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jan 9, 2008 to May 18, 2022factForm ADV
→ BRIGHTON PRESIDIO CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Dec 16, 2005 to Jun 14, 2006factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Apr 15, 2004 to Nov 18, 2005factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 20, 2000 to Apr 2, 2004factForm ADV

Dated events

Occurred
Nov 6, 2025
Advisor changed firm
John Ramsay Ellis left Mml Investors Services, Llc for Alden Investment Group (registered 2026-06-26)
Form ADVobserved 4 days ago
Occurred
Aug 22, 2023
Advisor changed firm
John Ramsay Ellis left Lpl Financial Llc for Mml Investors Services, Llc (registered 2023-08-11)
Form ADVobserved 4 days ago