Elizabeth G. Wilson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elizabeth Griggs Wilson, who also goes by Elizabeth Wilson Pansing, Liggzie Wilson, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1981. Elizabeth had worked at 11 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2010 - May 2, 2012
BROOKSTONE SECURITIES, INC.
March 8, 2007 - May 1, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
March 6, 2007 - July 30, 2010
WESTERN INTERNATIONAL SECURITIES, INC.
November 3, 2005 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
May 16, 2005 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
September 10, 2004 - April 18, 2005
GUNNALLEN FINANCIAL, INC
August 20, 2004 - April 18, 2005
GUNNALLEN FINANCIAL, INC
August 19, 2003 - June 18, 2004
MAIN STREET MANAGEMENT COMPANY
June 13, 2003 - June 18, 2004
MAIN STREET MANAGEMENT COMPANY
November 21, 2000 - May 28, 2003
SECURITIES AMERICA ADVISORS, INC.
April 17, 2000 - May 28, 2003
SECURITIES AMERICA, INC.
April 24, 1995 - April 19, 2000
STIFEL INDEPENDENT ADVISORS, LLC
May 28, 1993 - March 1, 1995
UBS FINANCIAL SERVICES INC.
April 22, 1991 - May 26, 1993
PIPER SANDLER & CO.
November 17, 1981 - April 25, 1991
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
