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EP

Elizabeth E. Pahalad

Some features on this profile are disabled
CRD#: 1353378
EP

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 Eva Pahalad, who also goes by Elizabeth Eva Baiju, Elizabeth Pahalad, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 1997. Elizabeth had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Eva Baiju | Elizabeth Pahalad

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 22, 2016 - January 6, 2017

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Plantation, FL
Past

June 28, 2011 - March 17, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PLANTATION, FL
Past

July 11, 2006 - November 21, 2008

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
BOCA RATON, FL
Past

May 1, 2006 - June 29, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
FT. LAUDERDALE, FL
Past

March 29, 2005 - December 19, 2005

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

October 2, 2003 - March 24, 2004

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

June 20, 2002 - March 31, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 7, 1999 - June 28, 2002

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

August 11, 1998 - January 4, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 21, 1998 - April 29, 1998

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

January 1, 1997 - February 12, 1998

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/17/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/17/2001
General Securities Sales Supervisor - General Module Examination

Current Firm

JC
J.W. COLE FINANCIAL, INC.
J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634
Phone number
(813) 935-6776
Established
Florida since 10/14/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JWC WEALTH PARTNERSOWNER
FUSSA OCASIO, FERNANDOCFO/FINOP2471569
LOFGREN, KURT WALKERCHIEF COMPLIANCE OFFICER3048472
PACK, TODD JAMESCHIEF OPERATING OFFICER2795590
WEST, EUGENEDESIGNATED MUNICIPAL PRINCIPAL/ROSFP2059974
WOOD, ROBERT JULIANTREASURER/SECRETARY/GP/CEO3217809

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

J.W. COLE FINANCIAL, INC.

CRD#: 124583

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