Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Sum-slaughter is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. Elizabeth has been in the industry since 1988 and holds licenses in several states including North Carolina, South Carolina, Texas, Georgia, and Ohio. Elizabeth has a variety of licenses including Series 3, 7, 9, 10, 24, 63 and 65. Elizabeth is also registered as a principal with the firm. Elizabeth has worked at several firms in the past including Waterhouse Securities, Inc., Muriel Siebert & Co., Inc. and Blinder, Robinson & Co., Inc. Elizabeth has a wide range of experience in the financial services industry and is well-equipped to help clients meet their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
12/06/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RALEIGH NC)
NY
04/20/1998 - 05/19/1998
MURIEL SIEBERT & CO., INC. (NEW YORK NY)
NE
01/14/1987 - 04/29/1998
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NA
06/18/1985 - 09/26/1985
BLINDER, ROBINSON & CO.,INC.
IA
Issued 03/14/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/05/1996
Series 24 - General Securities Principal Examination
BC
Issued 08/20/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2013
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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