Elizabeth A. Smith
Professional summary
Elizabeth Anne Smith, who also goes by Elizabeth Anne Dinatale, is a registered financial professional currently at FDX CAPITAL LLC located in New York, New York and EASTERLY SECURITIES LLC located in New York, New York.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2007. Elizabeth has worked at 7 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Anne Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2017 - Present
FDX CAPITAL LLC
Office #1: 515 Madison Avenue 24th Floor, New York, NY 10022September 14, 2023 - Present
EASTERLY SECURITIES LLC
Office #1: 515 Madison Avenue 24th Floor, New York, NY, 10022July 26, 2016 - September 7, 2016
BBVA SECURITIES INC.
August 31, 2010 - May 6, 2014
SBERBANK CIB USA, INC.
August 2, 2010 - September 15, 2010
MONARCH FINANCIAL CORPORATION OF AMERICA
November 5, 2009 - September 15, 2010
WESTROCK ADVISORS, INC.
May 31, 2007 - June 30, 2009
ELECTRONIC SECURITIES PROCESSING (ESP) LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
EASTERLY SECURITIES LLC
CRD#: 281103 / SEC#: , 8-69661
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EASTERLY ASSET MANAGEMENT OPERATIONS LLC | SOLE AND MANAGING MEMBER | |
| JULIANO JR, PHILIP L | CHIEF EXECUTIVE OFFICER | 4781008 |
| JUSTER, KENNETH G | CHIEF LEGAL OFFICER | 4788250 |
| MONTAGUE, MICHAEL | CHIEF FINANCIAL OFFICER | 5121305 |
| SMITH, ELIZABETH ANNE | FINOP | 1960549 |
| SOMERS, DAVID MICHAEL II | CHIEF COMPLIANCE OFFICER | 4413478 |
Red Flags
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