Elaine R. Latz
Professional summary
Elaine Rose Latz, who also goes by Elaine Rose Perry, is a registered financial professional currently at PERSHING LLC located in Oakbrook Terrace, Illinois and PERSHING ADVISOR SOLUTIONS LLC located in Oakbrook Terrace, Illinois.
Elaine is registered as a RR (Registered Representative) and started their career in finance in 1990. Elaine has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elaine Rose Latz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2010 - Present
PERSHING LLC
Office #1: Two Mid America Plaza 10th Floor, Oakbrook Terrace, IL, 60181December 1, 2021 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: Two Mid America Plaza 10th Floor, Oakbrook Terrace, IL, 60181June 1, 2009 - June 3, 2010
MORGAN STANLEY
June 1, 2009 - June 3, 2010
MORGAN STANLEY
February 7, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 4, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 21, 1995 - August 12, 1998
WINGSPAN INVESTMENT SERVICES
February 8, 1990 - November 18, 1994
WINGSPAN INVESTMENT SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/21/2010)
Exams
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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