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ED

Elizabeth H. Dorsey

TERRANOVA CAPITAL EQUITIES,
New York, NY 10170
Some features on this profile are disabled
CRD#: 1569566
ED

Professional summary

Elizabeth Hillen Dorsey, who also goes by Elizabeth H Dorsey, Lisa Dorsey, is a registered financial professional currently at TERRANOVA CAPITAL EQUITIES, INC located in New York, New York.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2001. Elizabeth has worked at 9 firms and has passed the Series 63, Series 66, Series 82TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth H Dorsey | Lisa Dorsey

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) - BD

Click below to view Elizabeth Hillen Dorsey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 22, 2023 - Present

TERRANOVA CAPITAL EQUITIES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170
BD
CRD#: 45097
New York, NY
Past

December 18, 2020 - December 12, 2022

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

September 26, 2016 - July 19, 2017

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

August 3, 2016 - July 19, 2017

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

October 24, 2014 - May 13, 2015

MITCHELL SECURITIES, INC.

BD
CRD#: 29017
NEW YORK, NY
Past

February 14, 2007 - October 23, 2014

MILLER TABAK + CO., LLC

BD
CRD#: 47293
NEW YORK, NY
Past

November 1, 2005 - August 8, 2006

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

July 21, 2005 - March 14, 2006

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
NEW YORK, NY
Past

July 15, 2002 - January 3, 2005

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

April 23, 2001 - March 19, 2002

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
District of Columbia
(9/8/2023)
RR
Maryland
(7/21/2023)
RR
Virginia
(7/21/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/24/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/22/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 7/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TERRANOVA CAPITAL EQUITIES, INC
EUROPEAN AMERICAN EQUITIES, INC. | TN CAPITAL EQUITIES, LTD | TERRANOVA CAPITAL EQUITIES, INC. | TERRANOVA CAPITAL EQUITIES, INC | HORNBLOWER CAPITAL SECURITIES, INC. | GROWVEST CAPITAL SECURITIES, INC. | EUROPEAN AMERICAN EQUITIES, LTD.

CRD#: 45097 / SEC#: , 8-50973

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

Main Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Phone number
(212) 381-7391
Established
Delaware since 03/18/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 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#
TERRANOVA CAPITAL PARTNERS, INC.SHAREHOLDER
CERNY, CRAIG JONATHANCHIEF EXECUTIVE OFFICER1538404
GELB, PETER RICHARDCOO/CFO2542816
GOODE, JACQUELINE MARIECCO1292607
MATTERA, RICHARD JOSEPHFINANCIAL OPERATIONS OFFICER2246513
STEINMETZ, JOHN FRANCISCHAIRMAN & PRESIDENT1132822

Disclosures

Regulatory Event4

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

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097New York, NY 10170

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