AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
ES

Elizabeth Schwinghammer

UNITED CAPITAL FINANCIAL ADVISORS
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 2408351
ES

Professional summary

Elizabeth Schwinghammer, who also goes by Elizabeth Marie Foster, Lisa Marie Foster, Elizabeth Marie Schwinghammer, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Greenwood Village, Colorado.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Elizabeth has worked at 7 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Elizabeth Marie Foster | Lisa Marie Foster | Elizabeth Marie Schwinghammer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Schwinghammer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 23, 2015 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 5655 S Yosemite St Ste 450, Greenwood Village, CO 80111
RIA
CRD#: 134600
Greenwood Village, CO
Past

October 10, 2008 - January 23, 2015

CAPITAL INVESTMENT COUNSEL, INC

RIA
CRD#: 106966
DENVER, CO
Past

January 13, 2006 - May 29, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
DENVER, CO
Past

February 28, 2005 - September 7, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 25, 2002 - August 6, 2004

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

September 8, 1997 - January 2, 2002

BERGER DISTRIBUTORS LLC

BD
CRD#: 41436
DENVER, CO
Past

June 13, 1996 - August 28, 1997

SOCIMER SECURITIES CORPORATION

BD
CRD#: 32011
MIAMI, FL
Past

November 11, 1993 - September 25, 1995

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT

CRD#: 134600 / SEC#: 801-64376

RIA
Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Arizona
(3/11/2015)
IAR
Colorado
(1/23/2015)
IAR
Montana
(6/3/2019)
IAR
Texas
(7/30/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/1993
General Securities Representative Examination

Current Firm

UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT

CRD#: 134600 / SEC#: 801-64376

RIA
Registered Investment Advisory firm - (6/9/2005 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)
UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts41,738
AUM (Assets Under Management)$ 17,211,052,120

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/01/2024
Cover Page
Report
10/30/2023
Cover Page
Report
01/26/2023
Cover Page
Report

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.

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600Greenwood Village, CO 80111

TRUST BUT VERIFY

Monitor Elizabeth Schwinghammer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Greenwood Village, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Denver, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.