DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Cindy Lou Ellis
Feed of 09/14/2026
Also filed as Cindy Lou Coleman
At current firm
3 y
since Mar 9, 2023
In the industry
31 y
since Jan 6, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James & Associates, Inc. national BD currentsince Mar 9, 2023 · Clinton, Mo
- LPL Financial LLC BD affiliatedOct 17, 2022 to Jan 26, 2023 · Blue Springs, Mo
- Commerce Brokerage Services, Inc formerMay 29, 2008 to Sep 9, 2022 · Kansas City, Mo
- UBS Financial Services Inc. wirehouseAug 12, 2006 to Mar 26, 2008 · Leawood, Ks
- Piper Sandler & Co. institutionalAug 23, 2004 to Aug 12, 2006 · Leawood, Ks
- UBS Financial Services Inc. wirehouseFeb 13, 2003 to Sep 13, 2004 · Kansas City, Mo
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Raymond James & Associates, Inc.left Jan 26, 2023, registered Mar 9, 2023 (42 days) · RIA to affiliated broker-dealer or bank
- Commerce Brokerage Services, Inc to LPL Financial LLCleft Sep 9, 2022, registered Oct 17, 2022 (38 days) · RIA to RIA
- UBS Financial Services Inc. to Commerce Brokerage Services, Incleft Mar 26, 2008, registered May 29, 2008 (64 days) · Other
- Piper Sandler & Co. to UBS Financial Services Inc.left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to Piper Sandler & Co.left Sep 13, 2004, registered Aug 23, 2004 (-21 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Signals
- Cindy Lou Ellis left Lpl Financial Llc for Raymond James & Associates, Inc. (registered 2023-03-09)Jan 26, 2023 · Advisor changed firm · fact
- Cindy Lou Ellis left Commerce Brokerage Services, Inc for Lpl Financial Llc (registered 2022-10-17)Sep 9, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address