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EP

Elizabeth K. Peaslee

SAN BLAS SECURITIES LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 1022919
EP

Professional summary

Elizabeth Kendrick Peaslee, who also goes by Liz Peaslee, is a registered financial professional currently at SAN BLAS SECURITIES LLC located in Chicago, Illinois.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1981. Elizabeth has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Liz Peaslee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elizabeth Kendrick Peaslee's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 13, 2022 - Present

SAN BLAS SECURITIES LLC

Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606
BD
CRD#: 290605
CHICAGO, IL
Past

April 13, 2022 - December 31, 2025

SB ADVISORY, LLC

RIA
CRD#: 154680
Santa Monica, CA
Past

April 4, 2022 - May 23, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
SANTA MONICA, CA
Past

April 4, 2022 - May 23, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
SANTA MONICA, CA
Past

June 28, 2016 - April 1, 2022

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
SANTA MONICA, CA
Past

May 6, 2016 - April 1, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

July 27, 2015 - May 13, 2016

ADIRONDACK TRADING GROUP LLC

BD
CRD#: 103910
NEW WOODSTOCK, NY
Past

July 23, 2015 - December 31, 2015

RIDGEWAY CONGER ADVISORY SERVICES

RIA
CRD#: 139372
SANTA MONICA, CA
Past

November 13, 2007 - August 4, 2015

LEUCADIA ASSET MANAGEMENT LLC

RIA
CRD#: 121767
LOS ANGELES, CA
Past

August 7, 2003 - December 31, 2005

LEUCADIA ASSET MANAGEMENT LLC

RIA
CRD#: 121767
NEW YORK, NY
Past

July 15, 2002 - August 4, 2015

JEFFERIES LLC

BD
CRD#: 2347
LOS ANGELES, CA
Past

June 23, 2000 - August 14, 2002

ROBERTSON STEPHENS, INC.

RIA
CRD#: 41271
NEW YORK, NY
Past

March 19, 1999 - August 14, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

July 22, 1994 - March 23, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

April 19, 1983 - July 26, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

December 11, 1981 - April 26, 1983

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/13/2022)
RR
Connecticut
(6/2/2022)
RR
Georgia
(4/13/2022)
RR
New Mexico
(4/13/2022)
RR
New York
(4/13/2022)
RR
North Carolina
(5/24/2022)
RR
Pennsylvania
(12/7/2023)
RR
South Carolina
(7/6/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/4/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/19/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1981
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SB
SAN BLAS SECURITIES LLC
IFS CAPITAL MARKETS, LLC | SAN BLAS SECURITIES LLC

CRD#: 290605 / SEC#: , 8-70036

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
233 S Wacker Dr Suite 4400, Chicago, IL 60606
Mailing Address
3424 Peachtree Rd. Ne Suite 2200, Atlanta, GA 30326-1184
Phone number
(773) 661-4448
Established
Delaware since 04/13/2017
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INCDIRECT OWNER
CARTER, ANA ROUMENOVAFINOP4424794
PADILLA, DANIEL JRCCO3123672
PADILLA, DANIEL JRCEO3123672

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.

Company Information

SAN BLAS SECURITIES LLC

CRD#: 290605Chicago, IL 60606

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