Elizabeth M. Moody
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 Marie Moody, who also goes by Elizabeth M Reilly, Elizabeth Marie Reilly, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1984. Elizabeth had worked at 8 firms and has passed the Series 63, SIE, 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
February 21, 2012 - July 7, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 28, 2011 - September 6, 2011
WILMINGTON CAPITAL SECURITIES, LLC
April 25, 2006 - March 4, 2010
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
July 15, 2004 - April 26, 2006
SANDGRAIN SECURITIES LLC
January 9, 2004 - July 21, 2004
J.P. MORGAN CLEARING CORP.
January 9, 2004 - July 21, 2004
J.P. MORGAN SECURITIES LLC
July 9, 2002 - July 11, 2003
COHMAD SECURITIES CORPORATION
May 24, 1985 - July 17, 2000
COHMAD SECURITIES CORPORATION
September 21, 1984 - June 13, 1985
S.G. WARBURG & CO. INC.
January 25, 1984 - September 10, 1984
JEFFERIES LLC
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
