Joshua M Ellis
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Joshua M. Ellis is an investment adviser representative with LPL Financial LLC in Wethersfield, CT, where they have been registered since 2024. They have worked in the securities industry since 2024 and were previously registered with Lincoln Financial Securities Corporation. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Connecticut.
Registrations & licenses
- Investment adviser:
- Connecticut
- Broker:
1 state or territory
Connecticut
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Lincoln Financial Securities CorpJan 2024 – May 2024Wethersfield, CT
- Acadia CorporationMay 2019 – Aug 2019Bar Harbor, ME
- Newington Tennis CenterJun 2018 – Jan 2023Newington, CT
- University of ConnecticutSep 2018 – May 2023Hartford, CT
- UnemployedJun 2023 – Feb 2024Newington, CT
- Full Time EducationJan 2014 – May 2018Newington, CT
- LPL FinancialMay 2024 – no end date reportedWethersfield, CT
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joshua M Ellis has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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