Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Ballou is an investment professional with extensive experience in the financial services industry. Elizabeth currently works as a Registered Representative for Wells Fargo Clearing Services, LLC, a firm known for its comprehensive financial services and investment solutions. Elizabeth has held previous positions with Wells Fargo Securities, LLC and Vanguard Marketing Corporation, demonstrating a consistent commitment to the industry. Elizabeth's background includes a strong foundation in securities, financial products, and compliance, as evidenced by her passing of multiple industry exams, including the Series 7, Series 63, Series 24, Series 14, and Series 99TO. Elizabeth has earned the respect of clients and colleagues alike, establishing a reputation for professionalism and commitment to client service.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
03/19/2024 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
10/24/2023 - 10/31/2023
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
10/02/2023 - 10/17/2023
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
06/11/2018 - 07/29/2021
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
10/04/2017 - 03/08/2018
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BC
Issued 09/20/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 12/19/2022
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/19/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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