Elizabeth O. Merritt
Professional summary
Elizabeth Oakley Merritt, who also goes by Elizabeth O Merritt, is a registered financial professional currently at CAPITAL MANAGEMENT OF THE CAROLINAS, LLC located in Charlotte, North Carolina.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1993. Elizabeth has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Oakley Merritt's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2019 - Present
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
Office #1: 1520 South Boulevard, Suite 230, Charlotte, NC 28203November 14, 2016 - August 24, 2017
CITIGROUP GLOBAL MARKETS INC.
October 28, 2013 - January 6, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 25, 2007 - October 4, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 16, 2004 - June 18, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 13, 2000 - March 4, 2003
HARRISDIRECT LLC
June 17, 1997 - July 6, 2000
J.C. BRADFORD & CO.
March 4, 1993 - April 3, 1997
WACHOVIA SECURITIES, 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
(8/2/2019)
Exams
Series 8
Date: 3/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
CRD#: 110643 / SEC#: , 8-53149
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORIN, MICHAEL LEWIS | PARTNER/VICE PRESIDENT | 2951550 |
| RIVERS, JAMES CALVIN JR | PARTNER | 1067542 |
| THE KENNETH LEE CARTER, JR. REVOCABLE TRUST | TRUST | |
| DOUGLASS, REBECCA GENTRY | PARTNER | 1213829 |
| CARTER, KENNETH LEE JR | PARTNER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TRUSTEE | 2822127 |
| YAGER, SHERRI LYNN | CHIEF COMPLIANCE OFFICER | 2660363 |
Red Flags
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