Elisa C. Kern
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 Claire Kern, who also goes by Elisa Ck Rogers, Elisa Claire Rogers, was a registered financial professional .
Elisa is a previously registered financial professional and started their career in finance in 1989. Elisa had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2007 - December 31, 2013
KERN, SUSLOW SECURITIES, INC.
October 10, 2005 - February 29, 2016
GOLDMAN SACHS CUSTODY SOLUTIONS
August 8, 2000 - September 30, 2005
GROVE POINT INVESTMENTS, LLC
November 11, 1998 - September 10, 1999
FIRST UNION CAPITAL MARKETS CORP.
October 16, 1989 - October 21, 1998
KERN, SUSLOW SECURITIES, INC.
June 14, 1989 - July 3, 1989
JOSEPHTHAL & CO., INC.
February 1, 1989 - June 17, 1989
MOSTEL & TAYLOR SECURITIES 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
KERN, SUSLOW SECURITIES, INC.
CRD#: 24755 / SEC#: , 8-41371
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUSLOW, STEPHEN S | VICE PRESIDENT | 440234 |
| HAMILTON, CHRISTOPHER GEORGE | FINOP, PRESIDENT, CCO | |
| ESTATE OF ARTHUR KERN | OWNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
