Elizabeth V. Veloz
Professional summary
Elizabeth Vinessa Veloz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Elizabeth is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Elizabeth had worked at 6 firms, which includes CHASE INVESTMENT SERVICES CORP., CITICORP INVESTMENT SERVICES, CHEMICAL INVESTMENT SERVICES CORP., IFMG SECURITIES INC., CITICORP FINANCIAL SERVICESINC., MOORE & SCHLEY CAMERON & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2001 - January 5, 2012
CHASE INVESTMENT SERVICES CORP.
September 20, 2000 - January 5, 2012
CHASE INVESTMENT SERVICES CORP.
March 8, 2000 - September 22, 2000
CITICORP INVESTMENT SERVICES
July 10, 1996 - March 17, 2000
CHASE INVESTMENT SERVICES CORP.
August 1, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
April 4, 1994 - August 1, 1994
IFMG SECURITIES, INC.
June 1, 1992 - March 22, 1994
CITICORP INVESTMENT SERVICES
January 17, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
November 17, 1989 - December 12, 1989
MOORE & SCHLEY, CAMERON & CO.
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
Series 8
Date: 10/11/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
Red Flags
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