Elizabeth T. Powell
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 Tayloe Powell, who also goes by Buffa Tayloe, Elizabeth Berry Tayloe, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2000. Elizabeth had worked at 1 firm and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 4 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
September 28, 2009 - November 1, 2022
MID-ATLANTIC SECURITIES, INC.
August 3, 2000 - January 3, 2023
MID-ATLANTIC SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MID-ATLANTIC SECURITIES, INC.
CRD#: 18836 / SEC#: 801-112068, 8-36997
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEVEL FOUR GROUP, LLC | OWNER | |
| POWELL, ELIZABETH TAYLOE | CHIEF COMPLIANCE OFFICER | 1240225 |
Regulatory assets under management
| Total Number of Accounts | 949 |
| AUM (Assets Under Management) | $ 380,201,903 |
Disclosures
| Regulatory Event | 4 |
| Bond | 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.
