Elizabeth O. Pierce
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 Owens Pierce, who also goes by Elizabeth Pierce Ladd, Liz Ladd, Elizabeth Pierce, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1983. Elizabeth had worked at 10 firms and has passed the Series 63, SIE, Series 87, Series 16, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2017 - December 11, 2017
MCG SECURITIES LLC
September 4, 2014 - April 11, 2016
BREAN CAPITAL, LLC
February 13, 2013 - August 27, 2014
ASCENDIANT CAPITAL MARKETS, LLC
August 18, 2006 - December 11, 2012
ROTH CAPITAL PARTNERS, LLC
March 4, 2003 - August 16, 2006
SANDERS MORRIS LLC
January 5, 2000 - March 5, 2003
WEDBUSH SECURITIES INC.
October 28, 1998 - January 3, 2000
THE SEIDLER COMPANIES INCORPORATED
December 11, 1997 - October 23, 1998
ROTH CAPITAL PARTNERS, LLC
March 25, 1996 - October 3, 1997
STEPHENS
October 18, 1994 - March 26, 1996
SALOMON BROTHERS INC.
December 2, 1983 - January 8, 1985
AMERIPRISE FINANCIAL SERVICES, 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
MCG SECURITIES LLC
CRD#: 163144 / SEC#: , 8-69068
Contact information
FINRA licenses (13 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.
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