Elizabeth M. Raabe

SENECA FINANCIAL ADVISORS LLC

Denver, CO

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CRD#: 1079353

Professional summary

Elizabeth Mezei Raabe, CFP®, who also goes by Elizabeth VIctoria Mezei, Kathy Mezei, Elizabeth Victoria Raabe, Kathy Mezei Raabe, is a registered financial advisor currently at SENECA FINANCIAL ADVISORS LLC located in Denver, Colorado.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Elizabeth has worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Elizabeth Victoria Mezei | Kathy Mezei | Elizabeth Victoria Raabe | Kathy Mezei Raabe

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) - RIA

Click below to view Elizabeth Mezei Raabe'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®

CFP^®

CRD#: 26266

FAIRPORT, NY

Past

October 14, 1997 - December 6, 2001

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

August 1, 1995 - October 9, 1997

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

April 7, 1989 - June 13, 1995

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

August 1, 1983 - February 7, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

November 24, 1982 - June 24, 1983

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SENECA FINANCIAL ADVISORS LLC

SENECA FINANCIAL ADVISORS LLC | SENECA FINANCIAL ADVISORS, LLC

CRD#: 152824 / SEC#: 801-71051

RIA

Registered Investment Advisory firm - (2/8/2010 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(11/6/2020)

IAR

Texas
(11/6/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/28/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/6/1998

General Securities Principal Examination

Current Firm

SENECA FINANCIAL ADVISORS LLC

SENECA FINANCIAL ADVISORS LLC | SENECA FINANCIAL ADVISORS, LLC

CRD#: 152824 / SEC#: 801-71051

RIA

Registered Investment Advisory firm - (2/8/2010 Approved)

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Contact information

Main Address

500 Linden Oaks Suite 150, Rochester, NY 14625

Mailing Address

Phone number

(585) 203-1211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (INCLUDES FORM ADV PART 2B BROCHURE SUPPLEMENT DETAILS) (2/18/2025)

Regulatory assets under management

Total Number of Accounts	1,072
AUM (Assets Under Management)	$ 693,608,122

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2024	Cover Page	Report
01/11/2024	Cover Page	Report
09/30/2022	Cover Page	Report

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.

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Elizabeth M. Raabe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Mezei Raabe's CRS (Customer Relationship Summary).

Certified licenses

Experience

FWM LEGACY, LLC

HIGHWATER WEALTH MANAGEMENT LLC

CAPITAL INVESTMENT COUNSEL, INC

MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

STEPHENS

STRONG INVESTMENTS, INC.

NUVEEN SECURITIES, LLC

INVEST FINANCIAL CORPORATION

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

SENECA FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/2000

Series 63

Date: 1/28/1983

Series 7

Date: 11/20/1982

Series 24

Date: 3/6/1998

Current Firm

SENECA FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SENECA FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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