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Miranda Ellis Terminated by United Capital Management of Kansas

Miranda Ellis (CRD #: 7049248), a broker registered with Kovack Securities, was recently fired by the United Capital Management of Kansas. This disclosure appears on her BrokerCheck record, accessed on December 15, 2023. Keep reading for details concerning this termination. 

On October 13, 2023, United Capital Management of Kansas fired Miranda Ellis following allegations that she did not comply with the firm’s compliance requirements and standard of conduct. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to adhere to the firm’s compliance requirements and standard of conduct may violate this rule. 

Background Information 

Miranda Ellis has passed the following exams:

  • Series 66 Uniform Combined State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 

She has registered as a broker and investment adviser in Kansas. She is also a registered broker in Colorado, Nebraska, Oklahoma, and Texas. 

During her four years of experience, she has registered with four firms: 

  • Kovack Securities (CRD #: 44848) 
  • Kovack Advisors (CRD #: 140808) 
  • SA Stone Wealth Management (CRD #: 18456) 
  • United Capital Management of Kansas (CRD #: 157755) 

Kurta Law Can Help 

If you have worked with Miranda Ellis and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.