Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Marie Smith is a financial advisor with over 28 years of experience in the industry. Elizabeth is currently registered with Morgan Stanley and has been with the firm since 2010. Prior to that, Elizabeth was a registered representative with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, SELIGMAN ADVISORS, INC., NDB CAPITAL MARKETS, LP, BT SECURITIES CORPORATION, PRUDENTIAL SECURITIES INCORPORATED and PAINEWEBBER INCORPORATED. Elizabeth has a wide range of experience in financial planning, portfolio management, and investment advice. Elizabeth is committed to providing her clients with personalized financial advice and guidance to help them achieve 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
11/23/2021 - Present
Morgan Stanley (Melville NY)
NY
09/22/2004 - 06/02/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MELVILLE NY)
MA
05/21/2002 - 03/01/2004
SELIGMAN ADVISORS, INC. (BOSTON MA)
NY
05/18/2001 - 05/08/2002
NDB CAPITAL MARKETS, LP (NEW YORK NY)
MD
04/07/1994 - 05/09/1997
BT SECURITIES CORPORATION (BALTIMORE MD)
NY
07/08/1993 - 02/28/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/21/1990 - 04/20/1993
PUNK, ZIEGEL & KNOELL, L.P. (NEW YORK NY)
NJ
05/23/1989 - 09/12/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 11/22/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/11/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2021
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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