Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Herbst has over 30 years of experience in the financial industry. Elizabeth has worked at Raymond James & Associates, Inc. since 2018 and was previously employed at UBS Financial Services Inc. and Dean Witter Reynolds Inc. Elizabeth has a wide range of experience, having held a variety of positions including investment advisor and broker-dealer. Elizabeth holds several licenses and certifications, including Series 3, 7, 8, 9, 10, 63, and 65. Elizabeth is registered to provide securities and investment advisory services in all 50 states and the District of Columbia.
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.
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.
Please see note in schedule d - miscellaneous
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
FL
09/14/2018 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NJ
04/18/1989 - 09/10/2018
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NA
03/11/1987 - 01/19/1989
DEAN WITTER REYNOLDS INC.
IA
Issued 11/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1987
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 10/05/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/1999
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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