Elizabeth S. Jackson
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 S Jackson, who also goes by Beth Jackson, Elizabeth Sherman Jackson, Elizabeth Catherine Sherman, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1983. Elizabeth had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 5, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2018 - September 16, 2020
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
September 25, 2018 - September 16, 2020
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
November 14, 2013 - May 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2013 - May 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2008 - August 10, 2012
LPL FINANCIAL LLC
June 30, 2004 - July 31, 2008
UBS FINANCIAL SERVICES INC.
December 13, 2000 - July 6, 2004
WELLS FARGO INVESTMENTS, LLC
September 1, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
December 16, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 26, 1991 - March 1, 1993
U.S. BANCORP INVESTMENTS, INC.
November 10, 1986 - October 4, 1989
FBS BROKERAGE SERVICES, INC.
April 20, 1983 - August 14, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
CRD#: 42941 / SEC#: 801-80809, 8-50082
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 7TO
Date: 3/24/2024
General Securities Representative ExaminationSeries 5
Date: 5/19/1983
Interest Rate Options ExaminationCurrent Firm
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
CRD#: 42941 / SEC#: 801-80809, 8-50082
Contact information
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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