John Ellis has been Managing Partner and Chief Technology Officer of Forthright Wealth Management since January 2018, is a control person of the firm and directly owns under 5% of it.
Forthright Wealth Management, LLC is an Alpharetta, GA firm with $773M under management, 575 clients and 6 advisers in one office, as of its August 2026 filing.
John Ellis’ longest registration is the current one, 11 years at Forthright Wealth Management since 2015. Before joining Forthright Wealth Management in 2015, John Ellis was registered through Suntrust Investment Services, Inc. and PNC Investments.
- – present · 11 yearsAlpharetta, GA · Adviser representative · Firm CRD 220515
- Suntrust Investment Services, Inc.– · 1 yearAlpharetta, GA · Adviser representative · Firm CRD 17499
- PNC Investments– · 1 yearDuluth, GA · Adviser representative · Firm CRD 129052
- Suntrust Investment Services, Inc.– · 1 yearLilburn, GA · Adviser representative · Firm CRD 17499
- Wells Fargo Advisors, LLC– · 1 yearMarietta, GA · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
John Ellis is registered as an investment adviser representative in 3 states. The first approvals date from June 2015; the most recent is Florida, in December 2025.
- FloridaSince 16 December 2025
- GeorgiaSince 1 June 2015
- TexasSince 9 June 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 8 October 2007 |
| Series 7 | General Securities Representative Examination | 25 September 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Joseph Ellis
- CRD
- 5422812
- Firm
- Forthright Wealth Management · CRD 220515
- Role
- Managing Partner and Chief Technology Officer
- Office
- 11780 NORTHFALL LANE, SUITE 303, Alpharetta, GA 30009
- Registration
- Investment adviser registration
- In the industry since
- October 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does John Ellis work?
John Ellis has been Managing Partner and Chief Technology Officer of Forthright Wealth Management, LLC since January 2018, and is a control person of the firm.
Is John Ellis a financial advisor?
Yes. John Ellis has a current investment-adviser registration in Florida, Georgia and Texas, through Forthright Wealth Management since June 2015.
How many years of experience does John Ellis have?
John Ellis has 16 years in the financial industry, since October 2009, across 4 adviser firms.
What exams has John Ellis passed?
John Ellis has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2007. FINRA credited John Ellis with the SIE, which began in October 2018.
Where did John Ellis work before Forthright Wealth Management?
Before Forthright Wealth Management, John Ellis was registered through Suntrust Investment Services, Inc., February 2014 to May 2015; PNC Investments, November 2012 to January 2014; Suntrust Investment Services, Inc., June 2009 to November 2010; Wells Fargo Advisors, LLC, October 2007 to June 2009.
Where is John Ellis based?
John Ellis’ registered office is in Alpharetta, GA.
Is John Ellis registered with FINRA?
No. John Ellis has no current broker registration.
How can I verify John Ellis’ record?
Search CRD 5422812 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Ellis’ full registration record.
