Elizabeth P. Kennedy
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.
Elizabeth Pease Kennedy, who also goes by Elizabeth Anne Pease, Liz Pease, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1991. Elizabeth had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2019 - November 28, 2022
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
July 29, 2015 - June 21, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
July 18, 2014 - July 13, 2015
ALLSPRING FUNDS DISTRIBUTOR, LLC
June 8, 2006 - May 22, 2007
ASCENSUS BROKER DEALER SERVICES, LLC
May 16, 2005 - June 1, 2006
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
May 11, 2001 - September 19, 2003
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
July 10, 1991 - September 16, 1992
DEAM INVESTOR SERVICES, 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
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840 / SEC#: , 8-25845
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
Red Flags
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