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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

Robert James Ellis

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Buffalo, NY | Williamsville, NY

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Search this name across graphsid dfx:ria:33c22e5c-9485-faac-4c77-97bd220c492e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 4, 1997 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 17, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jun 17, 1986
First registration: Oct 4, 1997
Dual registered: yes, broker-dealer
Other names: BOB ELLIS
IAPD individual key: 1500955

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 15, 2018	n/a	yes	Williamsville, NY\|Buffalo, NY	Current employment
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Aug 6, 2013	Nov 27, 2018	no	ORCHARD PARK, NY\|MORRISTOWN, NJ	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 26, 2012	Jul 26, 2013	no	ORCHARD PARK, NY\|MORRISTOWN, NJ\|ORCHARD PARK, NY	Previous registration
IC ADVISORY SERVICES, INC.	Former SEC adviser	Jun 2, 2006	Dec 20, 2011	no	BEDMINSTER, NJ\|ORCHARD PARK, NY	Previous registration
THE INVESTMENT CENTER, INC.	n/a	Oct 4, 1997	Oct 2, 2006	no	ORCHARD PARK, NY	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
PRIVATE ADVISOR GROUP, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Nov 27, 2018	Oct 15, 2018	-43	Firm change after gap	RIA to ibd
LPL FINANCIAL LLC	PRIVATE ADVISOR GROUP, LLC	Jul 26, 2013	Aug 6, 2013	11	Firm change	Other
IC ADVISORY SERVICES, INC.	LPL FINANCIAL LLC	Dec 20, 2011	Jun 26, 2012	189	Firm change	Other
THE INVESTMENT CENTER, INC.	IC ADVISORY SERVICES, INC.	Oct 2, 2006	Jun 2, 2006	-122	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
155216:149018:NJ:2018-11-27	Nov 27, 2018	Oct 15, 2018	MORRISTOWN, NJ	Firm change after gap

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Oct 15, 2018 to presentfactForm ADV
→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Aug 6, 2013 to Nov 27, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 26, 2012 to Jul 26, 2013factForm ADV
→ IC ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 2, 2006 to Dec 20, 2011factForm ADV
→ THE INVESTMENT CENTER, INC.Registered adviserregistration: previous registration
Oct 4, 1997 to Oct 2, 2006factForm ADV

Dated events

No dated event names this entity yet.