Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Roecker is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. with over 20 years of experience in the financial industry. Elizabeth has worked for a number of firms in the past, including Robert W. Baird & Co. Incorporated. Elizabeth specializes in providing financial advice to individuals, businesses and institutions. Elizabeth is a registered representative with FINRA, a Series 66 license holder, and holds a number of other licenses and certifications. Elizabeth has earned the trust of a wide range of clients by providing a personalized approach to financial advice.
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
WI
02/22/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAUKESHA WI)
WI
08/17/2006 - 02/16/2017
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
04/01/2005 - 08/17/2006
WELLS FARGO FUNDS DISTRIBUTOR, LLC (MENOMONEE FALLS WI)
WI
11/26/1999 - 04/07/2005
STRONG INVESTMENTS, INC. (MENOMONEE FALLS WI)
BOTH
Issued 05/10/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/21/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/17/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/22/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 06/26/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/24/1999
Series 6 - Investment Company Products/Variable Contracts 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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