Elisa M. Korman
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.
Elisa Miriam Korman, who also goes by Elisa M Dunn, Elisa M Korman, Elisa Mirian Korman, was a registered financial professional .
Elisa is a previously registered financial professional and started their career in finance in 1988. Elisa had worked at 9 firms and has passed the Series 65, Series 63 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
November 25, 2013 - September 11, 2014
CHATSWORTH SECURITIES LLC
June 10, 2011 - December 5, 2011
WINDSOR STREET CAPITAL, LP
April 24, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 24, 2003 - July 1, 2009
MSI FINANCIAL SERVICES, INC.
June 14, 2001 - January 24, 2003
CITIGROUP GLOBAL MARKETS INC.
January 7, 2000 - February 14, 2001
CREDIT SUISSE SECURITIES (USA) LLC
September 14, 1999 - November 26, 1999
SANDS BROTHERS & CO., LTD.
October 27, 1988 - August 20, 1999
MORGAN STANLEY & CO. LLC
September 20, 1988 - October 27, 1988
UBS ASSET MANAGEMENT (US) 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
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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