Elizabeth A. Thompson
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 A Thompson, who also goes by Beth A Thompson, Elizabeth Ann Thompson, Liz Thompson, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1991. Elizabeth had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2017 - October 11, 2018
CITIZENS SECURITIES, INC.
August 14, 2013 - October 11, 2018
CITIZENS SECURITIES, INC.
June 9, 2012 - August 19, 2013
NYLIFE SECURITIES LLC
July 1, 2008 - April 3, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2008 - April 3, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 2007 - May 29, 2008
AMERITAS INVESTMENT COMPANY, LLC
November 27, 2006 - May 29, 2008
AMERITAS INVESTMENT COMPANY, LLC
August 25, 2005 - August 16, 2006
FIFTH THIRD SECURITIES, INC.
February 25, 2005 - August 16, 2006
FIFTH THIRD SECURITIES, INC.
December 3, 2004 - February 28, 2005
INVEST FINANCIAL CORPORATION
November 29, 2004 - February 28, 2005
INVEST FINANCIAL CORPORATION
August 16, 2002 - November 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 1991 - November 30, 2004
IDS LIFE INSURANCE COMPANY
June 17, 1991 - November 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
