Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Hathaway is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the financial industry since November 1989. She has worked for Bank of America Investment Services, Inc. and Morgan Keegan & Company, Inc. in the past. Elizabeth Hathaway is also a registered investment advisor in Arkansas and Texas. She holds Series 63, 65, 7 and SIE licenses. She has provided financial services for individuals, corporations, insurance companies, and charitable organizations for over 30 years.
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
AR
06/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LITTLE ROCK AR)
AR
12/15/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LITTLE ROCK AR)
AR
11/21/1989 - 12/19/2006
MORGAN KEEGAN & COMPANY, INC. (LITTLE ROCK AR)
IA
Issued 10/15/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1989
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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