Elaine M. Kaven
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.
Elaine Marie Kaven, who also goes by Elaine Marie Morse, Elanine Marie Morse, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1982. Elaine had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 14, Series 12, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2016 - October 15, 2019
RETIREONE INVESTMENT SERVICES, LLC
October 14, 2014 - April 22, 2016
SANDERS MORRIS LLC
July 15, 2009 - October 3, 2014
STOCKCROSS FINANCIAL SERVICES, INC.
July 19, 1983 - October 3, 2014
STOCKCROSS FINANCIAL SERVICES, INC.
December 21, 1982 - June 30, 1983
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
Series 55
Date: 8/12/1999
Limited Representative-Equity Trader ExamSeries 12
Date: 9/9/1994
NYSE Branch Manager ExaminationCurrent Firm
RETIREONE INVESTMENT SERVICES, LLC
CRD#: 269923 / SEC#: , 8-69640
Contact information
FINRA licenses (53 States and Territories)
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.
