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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

THOMAS QUINN ELLIS

Advisor at LPL FINANCIAL LLC

VENTURA, CA

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Search this name across graphsid dfx:ria:6830de6c-0ec2-9a70-89f2-44a928aac083

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 10, 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: LPL FINANCIAL LLC
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, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 17, 2003
First registration: Jun 10, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4663661

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
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 12, 2019	n/a	yes	VENTURA, CA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Dec 9, 2016	Nov 12, 2019	no	Thousand Oaks, CA\|VENTURA, CA	Previous registration
ARBOR POINT ADVISORS	Former SEC adviser	Dec 8, 2016	Nov 12, 2019	no	VENTURA, CA\|LAVISTA, NE\|LAVISTA, NE	Previous registration
FOOTHILL SECURITIES, INC.	Former SEC adviser	Dec 3, 2008	Dec 8, 2016	no	THOUSAND OAKS, CA\|Santa Clara, CA\|SANTA CLARA, CA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Sep 23, 2008	Dec 9, 2008	no	THOUSAND OAKS, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 10, 2004	Jun 12, 2008	no	WESTLAKE VILLAGE, CA\|NORTHRIDGE, CA\|S PASADENA, CA	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
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Nov 12, 2019	Nov 12, 2019	0	Firm change	Ibd to ibd
ARBOR POINT ADVISORS	SECURITIES AMERICA ADVISORS, INC.	Nov 12, 2019	Dec 9, 2016	-1,068	Channel change	Other
FOOTHILL SECURITIES, INC.	ARBOR POINT ADVISORS	Dec 8, 2016	Dec 8, 2016	0	Firm change	Other
PARK AVENUE SECURITIES LLC	FOOTHILL SECURITIES, INC.	Dec 9, 2008	Dec 3, 2008	-6	Firm change	Other
MML INVESTORS SERVICES, LLC	PARK AVENUE SECURITIES LLC	Jun 12, 2008	Sep 23, 2008	103	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
1027:165127:CA:2016-12-08	Dec 8, 2016	Dec 8, 2016	SANTA CLARA, CA	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 12, 2019 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Dec 9, 2016 to Nov 12, 2019factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Dec 8, 2016 to Nov 12, 2019factForm ADV
→ FOOTHILL SECURITIES, INC.Registered adviserregistration: previous registration
Dec 3, 2008 to Dec 8, 2016factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Sep 23, 2008 to Dec 9, 2008factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 10, 2004 to Jun 12, 2008factForm ADV

Dated events

No dated event names this entity yet.