Lizbeth E. Overton
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.
Lizbeth Elaine Overton, who also goes by Lizbeth E Overton, was a registered financial professional .
Lizbeth is a previously registered financial professional and started their career in finance in 1991. Lizbeth had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2012 - October 15, 2012
FOOTHILL SECURITIES, INC.
January 20, 2012 - October 15, 2012
FOOTHILL SECURITIES, INC.
June 1, 2009 - April 28, 2010
MORGAN STANLEY
June 1, 2009 - April 28, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 2, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
December 16, 1991 - April 2, 2007
MORGAN STANLEY DW 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
Series 8
Date: 5/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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