Vicki Lynn Ellis is Co-Chief Executive Officer and Chief Compliance Officer of Symons Capital Management, an equity risk manager that seeks to build durable wealth through protection-focused portfolios. At Symons, Vicki provides control and surveillance for the equity trading process, and monitors investment, trading and other activities to confirm compliance within limitations, internal policies and applicable securities laws and regulations. She brings over three decades of securities industry experience, with expertise in sales management, compliance and portfolio administration. Prior to joining Symons, she served as Vice President of Operations and Branch Operations Manager for Smith Barney and Associate Financial Adviser with Legg Mason.
1998 - 2001
1983 - 1988
1979 - 1983
She joined Symons Capital in 2001 as Executive Vice President, and was named Chief Compliance Officer in 2004.
She leads the firm in meeting and exceeding the CFA Institute's Global Investment Performance Standards and the SEC's compliance requirements.
At Legg Mason, she provided portfolio proposals and investment advice, along with market research as part of client services.
At Smith Barney, she monitored accounts for adherence to investment suitability and risk tolerance, and solved all trading operational problems.
She was also a Law Department Project Manager at Koppers Co., where she conducted research for attorneys.
She has a BA Degree in U.S. History and International Politics from the University of Pittsburgh.