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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Roberts is a financial advisor with over 40 years of experience in the industry. Elizabeth currently works at Morgan Stanley, and previously worked at WELLS FARGO CLEARING SERVICES, LLC and CITIGROUP GLOBAL MARKETS INC.. Elizabeth holds Series 7, 24, 63 and 66 licenses and is registered in over 25 states. Elizabeth's areas of specialization include financial planning, portfolio management for individuals, businesses, and investment companies, and asset allocation 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.
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
CA
10/03/2022 - Present
Morgan Stanley (SAN RAFAEL CA)
CA
04/09/2009 - 10/06/2020
WELLS FARGO CLEARING SERVICES, LLC (SAN RAFAEL CA)
CA
07/31/1993 - 04/27/2009
CITIGROUP GLOBAL MARKETS INC. (SAN RAFAEL CA)
NY
04/15/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
03/18/1985 - 04/26/1991
VAN KASPER & COMPANY (SAN FRANCISCO CA)
NA
06/21/1983 - 03/13/1985
CHANDLER-ROBERTS, INC.
CA
07/05/1983 - 05/07/1984
VAN KASPER & COMPANY (SAN FRANCISCO CA)
NA
09/01/1977 - 04/25/1983
SUTRO & CO. INCORPORATED
BOTH
Issued 08/17/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/1979
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1977
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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