Elyssa S. Baltazar
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.
Elyssa Starr Baltazar, who also goes by Elyssa S Baltazar, Elyssa Ruth Starr, was a registered financial professional .
Elyssa is a previously registered financial professional and started their career in finance in 1985. Elyssa had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2017 - October 20, 2021
BRIDGELIGHT CAPITAL LLC
February 26, 2013 - November 4, 2016
MSI FINANCIAL SERVICES, INC.
November 2, 2012 - November 4, 2016
MSI FINANCIAL SERVICES, INC.
May 29, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 27, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 24, 2009 - November 1, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2009 - November 1, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
January 31, 2005 - May 7, 2009
CITIGROUP GLOBAL MARKETS INC.
January 31, 2005 - May 7, 2009
CITIGROUP GLOBAL MARKETS INC.
March 17, 1998 - January 19, 2005
MORGAN STANLEY DW INC.
October 3, 1988 - January 19, 2005
MORGAN STANLEY DW INC.
January 23, 1985 - October 12, 1988
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
BRIDGELIGHT CAPITAL LLC
CRD#: 154920 / SEC#: 801-116940
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 8
Date: 2/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRIDGELIGHT CAPITAL LLC
CRD#: 154920 / SEC#: 801-116940
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 401 |
| AUM (Assets Under Management) | $ 120,677,922 |
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.
