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Elizabeth Ann Puma

Kestra Investment Services, LLC

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About Elizabeth Ann Puma

Elizabeth Puma is a financial advisor with Kestra Investment Services, LLC. Elizabeth has been working in the industry since 1981. She is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to sell securities in New Jersey. Elizabeth's experience includes positions with Lincoln Financial Advisors Corporation, First Montauk Securities Corp, Legg Mason Wood Walker, Incorporated, Prudential Securities Incorporated, Donaldson, Lufkin & Jenrette Securities Corporation, Kidder, Peabody & Co. Incorporated, Drexel Burnham Lambert Government Securities Inc, and Drexel Burnham Lambert Incorporated.

Firm Information

Elizabeth Puma is currently registered with Kestra Investment Services, LLC. Kestra Investment Services, LLC is a Limited Liability Company formed in September 2014 and is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 14 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

302

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Elizabeth Puma’s Registration & Firm History

NJ

07/01/2010 - Present

Kestra Investment Services, LLC (RED BANK NJ)

NJ

03/31/2006 - 07/15/2010

LINCOLN FINANCIAL ADVISORS CORPORATION (RED BANK NJ)

NJ

03/03/2003 - 07/19/2004

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

MD

02/01/2000 - 05/03/2001

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

NY

11/18/1999 - 01/12/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

06/15/1993 - 06/28/1999

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

04/17/1990 - 03/23/1993

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NA

02/21/1989 - 03/05/1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

NA

04/13/1981 - 03/05/1990

DREXEL BURNHAM LAMBERT INCORPORATED

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Licenses & Designations

BC

Issued 05/19/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Elizabeth Ann Puma.
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