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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

KEITH MICHAEL ELIS

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

BRANFORD, CT

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Search this name across graphsid dfx:ria:6145b128-e65b-6b49-e5cb-6b1560afd39a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 23, 2004 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: Jan 20, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 20, 2004
First registration: Jan 23, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4738360

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	Nov 18, 2014	n/a	yes	BRANFORD, CT	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Nov 17, 2014	no	FARMINGTON, CT	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jul 7, 2006	Jan 1, 2008	no	FARMINGTON, CT\|ST. LOUIS, MO	Previous registration
WADDELL & REED	Former SEC adviser	Jan 23, 2004	Jul 12, 2006	no	HARTFORD, CT\|HARTFORD, CT	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
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Nov 17, 2014	Nov 18, 2014	1	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
WADDELL & REED	A. G. EDWARDS & SONS, INC.	Jul 12, 2006	Jul 7, 2006	-5	Firm change	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Nov 18, 2014 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Nov 17, 2014factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jul 7, 2006 to Jan 1, 2008factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jan 23, 2004 to Jul 12, 2006factForm ADV

Dated events

No dated event names this entity yet.