Elliot B. Stiefel
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.
Elliot Bart Stiefel, CFA was a registered financial professional .
Elliot is a previously registered financial professional and started their career in finance in 1983. Elliot had worked at 12 firms and has passed the Series 63, Series 15, Series 7, Series 27 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
March 19, 2012 - October 20, 2015
PALISADE CAPITAL MANAGEMENT, LP
April 8, 2004 - November 9, 2007
PALISADE CAPITAL SECURITIES, L.L.C.
April 1, 2004 - April 7, 2004
CHILIAN PARTNERS, L.P.
January 18, 1995 - February 28, 2000
PACESETTER 1, L.P.
August 2, 1993 - October 20, 1993
LIT CLEARING SERVICES, INC.
August 2, 1993 - August 16, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 7, 1989 - August 2, 1993
LIT AMERICA, INC.
August 5, 1988 - August 15, 1989
MORGAN STANLEY DW INC.
March 3, 1988 - May 31, 1988
MLP TRADING CO LLC
October 14, 1986 - March 23, 1987
JAMIE SECURITIES CO.
February 22, 1984 - January 24, 1985
CITIGROUP GLOBAL MARKETS INC.
August 23, 1983 - February 17, 1984
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
PALISADE CAPITAL MANAGEMENT, LP
CRD#: 104581 / SEC#: 801-48401
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 15
Date: 6/12/1984
Foreign Currency Options ExaminationCurrent Firm
PALISADE CAPITAL MANAGEMENT, LP
CRD#: 104581 / SEC#: 801-48401
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,412 |
| AUM (Assets Under Management) | $ 4,225,941,279 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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