{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 724283, \"firstName\": \"DAVID\", \"middleName\": \"WILLIAM\", \"lastName\": \"ELLIS\", \"nameSuffix\": \"III\", \"otherNames\": [\"DAVID WILLIAM ELLIS\"], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"2/22/1981\"}, \"currentEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"2/9/2007\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"410425\", \"street1\": \"8044 MONTGOMERY ROAD\", \"street2\": \"THE TOWERS AT KENWOOD\", \"city\": \"CINCINNATI\", \"cityAlias\": [\"BLUE ASH\", \"CINCINNATI\", \"DEER PARK\", \"KENWOOD\", \"READING\", \"ROSSMOYNE\", \"SILVERTON\", \"SYCAMORE TWP\", \"TAFT\"], \"state\": \"OH\", \"country\": \"United States\", \"zipCode\": \"45236\", \"latitude\": \"39.207085\", \"longitude\": \"-84.396842\", \"geoLocation\": \"39.207085,-84.396842\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"06/18/2009\"}, {\"displayOrder\": 2, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"Y\", \"branchOfficeId\": \"836491\", \"city\": \"Hilton Head Island\", \"cityAlias\": [\"FAIRFIELD\", \"HILTON HEAD\", \"HILTON HEAD ISLAND\"], \"state\": \"SC\", \"country\": \"United States\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"05/17/2024\"}]}], \"currentIAEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"2/9/2007\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"410425\", \"street1\": \"8044 MONTGOMERY ROAD\", \"street2\": \"THE TOWERS AT KENWOOD\", \"city\": \"CINCINNATI\", \"cityAlias\": [\"BLUE ASH\", \"CINCINNATI\", \"DEER PARK\", \"KENWOOD\", \"READING\", \"ROSSMOYNE\", \"SILVERTON\", \"SYCAMORE TWP\", \"TAFT\"], \"state\": \"OH\", \"country\": \"United States\", \"zipCode\": \"45236\", \"latitude\": \"39.207085\", \"longitude\": \"-84.396842\", \"geoLocation\": \"39.207085,-84.396842\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"06/18/2009\"}, {\"displayOrder\": 2, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"Y\", \"branchOfficeId\": \"836491\", \"city\": \"Hilton Head Island\", \"state\": \"SC\", \"country\": \"United States\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"05/17/2024\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"bdSECNumber\": \"30177\", \"firmId\": 566, \"firmName\": \"MCDONALD INVESTMENTS INC.\", \"city\": \"CINCINNATI\", \"state\": \"OH\", \"registrationBeginDate\": \"10/4/1991\", \"registrationEndDate\": \"2/9/2007\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"17462\", \"firmId\": 859, \"firmName\": \"GRADISON & COMPANY INCORPORATED\", \"registrationBeginDate\": \"2/23/1981\", \"registrationEndDate\": \"10/4/1991\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"previousIAEmployments\": [{\"iaOnly\": \"Y\", \"bdSECNumber\": \"30177\", \"firmId\": 566, \"firmName\": \"MCDONALD INVESTMENTS INC.\", \"city\": \"CINCINNATI\", \"state\": \"OH\", \"country\": \"United States\", \"registrationBeginDate\": \"10/14/1999\", \"registrationEndDate\": \"2/9/2007\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"disclosureFlag\": \"N\", \"iaDisclosureFlag\": \"N\", \"disclosures\": [], \"examsCount\": {\"stateExamCount\": 2, \"principalExamCount\": 1, \"productExamCount\": 2}, \"stateExamCategory\": [{\"examCategory\": \"Series 65\", \"examName\": \"Uniform Investment Adviser Law Examination\", \"examTakenDate\": \"5/9/1997\", \"examScope\": \"IA\"}, {\"examCategory\": \"Series 63\", \"examName\": \"Uniform Securities Agent State Law Examination\", \"examTakenDate\": \"3/30/1981\", \"examScope\": \"BC\"}], \"principalExamCategory\": [{\"examCategory\": \"Series 24\", \"examName\": \"General Securities Principal Examination\", \"examTakenDate\": \"5/6/1987\", \"examScope\": \"BC\"}], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"2/21/1981\", \"examScope\": \"BC\"}], \"registrationCount\": {\"approvedSRORegistrationCount\": 10, \"approvedFinraRegistrationCount\": 1, \"approvedStateRegistrationCount\": 42, \"approvedIAStateRegistrationCount\": 3}, \"registeredStates\": [{\"state\": \"Alabama\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Alaska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/3/2021\"}, {\"state\": \"Arizona\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Arkansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/29/2023\"}, {\"state\": \"California\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Colorado\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Connecticut\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Delaware\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/11/2008\"}, {\"state\": \"District of Columbia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Florida\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Georgia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Illinois\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Indiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Kansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/3/2023\"}, {\"state\": \"Kentucky\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Maine\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/15/2019\"}, {\"state\": \"Maryland\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Massachusetts\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Michigan\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Minnesota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Missouri\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/19/2007\"}, {\"state\": \"Nebraska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/1/2021\"}, {\"state\": \"Nevada\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"New Hampshire\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"New Jersey\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"New Mexico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/15/2009\"}, {\"state\": \"New York\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"North Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Ohio\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Ohio\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Oklahoma\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/21/2017\"}, {\"state\": \"Oregon\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Pennsylvania\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Puerto Rico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"Rhode Island\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"South Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"South Carolina\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"5/20/2024\"}, {\"state\": \"Tennessee\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/8/2011\"}, {\"state\": \"Texas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED_RES\", \"regDate\": \"2/28/2007\"}, {\"state\": \"Utah\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/30/2016\"}, {\"state\": \"Vermont\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/8/2017\"}, {\"state\": \"Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Washington\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2007\"}, {\"state\": \"Wisconsin\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2008\"}], \"registeredSROs\": [{\"sro\": \"BOX Exchange LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Cboe Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"FINRA\", \"status\": \"APPROVED\", \"CategoriesList\": [\"General Securities Principal\", \"Full Registration/General Securities Representative\"]}, {\"sro\": \"NYSE American LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"NYSE Arca, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"NYSE Texas, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq ISE, LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq PHLX LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq Stock Market\", \"status\": \"APPROVED\"}, {\"sro\": \"New York Stock Exchange\", \"status\": \"APPROVED\"}], \"brokerDetails\": {\"hasBCComments\": \"N\", \"hasIAComments\": \"N\", \"legacyReportStatusDescription\": \"Not Requested\"}}"}}]}}