Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elisabeth? Claim Your ProfileElisabeth Smith is a financial advisor with Hilltop Securities Inc. based in Dallas, Texas. Elisabeth has been working in the financial industry since 1996. Prior to joining Hilltop Securities Inc. she was with MORGAN STANLEY in Houston, Texas. Before that, Elisabeth was with PIPER JAFFRAY & CO. in Minneapolis, Minnesota.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
06/14/2021 - Present
Hilltop Securities Inc. (DALLAS TX)
TX
02/04/2019 - 06/03/2021
MORGAN STANLEY (HOUSTON TX)
MN
11/27/2006 - 08/20/2018
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NJ
08/12/2006 - 11/29/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MN
08/10/2004 - 08/12/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
MN
11/18/2002 - 07/23/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/15/1999 - 10/08/2002
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
MN
08/06/1998 - 06/09/1999
R.J. STEICHEN & COMPANY (MINNEAPOLIS MN)
MN
04/23/1996 - 07/28/1998
DOUGHERTY SUMMIT SECURITIES LLC (MINNEAPOLIS MN)
IA
Issued 12/02/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/20/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/20/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/27/1997
Series 4 - Registered Options Principal Examination
BC
Issued 06/14/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 08/20/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/18/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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