Elizabeth A. Mossey
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 Ann Mossey, who also goes by Elizabeth Brennan Mossey, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1985. Elizabeth had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1987 - October 2, 2014
CARTHAGE GROUP INC.
November 19, 1985 - May 28, 1987
INVESTORS CENTER, 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
Current Firm
CARTHAGE GROUP INC.
CRD#: 18289 / SEC#: , 8-36323
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, FELIX MICHAEL | PRESIDENT - CEO, CCO | 325110 |
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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