Elizabeth S. Howe
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 Sarah Howe, who also goes by Liz Howe, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1993. Elizabeth had worked at 5 firms and has passed the Series 65, Series 63 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 5, 2014 - November 15, 2016
GLOBALT INVESTMENTS
December 14, 2012 - December 14, 2012
QUASAR DISTRIBUTORS, LLC
April 14, 2005 - March 14, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 22, 2004 - October 22, 2004
TOWER SQUARE SECURITIES, INC.
July 26, 1993 - August 4, 2003
VERAVEST INVESTMENTS, 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
GLOBALT INVESTMENTS
CRD#: 168405 / SEC#: 801-78344
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,225 |
| AUM (Assets Under Management) | $ 2,543,718,212 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 11/16/2022 |
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.
