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Elizabeth A. Halsey

Some features on this profile are disabled
CRD#: 2420243
EH

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 Ann Halsey was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 1994. Elizabeth had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 9, Series 10 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 28, 2018 - September 11, 2019

TD AMERITRADE, INC.

RIA
CRD#: 7870
TAMPA, FL
Past

February 26, 2018 - September 11, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
TAMPA, FL
Past

February 26, 2018 - September 11, 2019

TD AMERITRADE, INC.

BD
CRD#: 7870
TAMPA, FL
Past

May 4, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
Tampa, FL
Past

August 8, 2016 - February 26, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
TAMPA, FL
Past

June 3, 2013 - August 11, 2016

LAWSON FINANCIAL CORPORATION

BD
CRD#: 15261
ST PETERSBURG, FL
Past

October 1, 2012 - April 11, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
TAMPA, FL
Past

August 10, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
TAMPA, FL
Past

January 7, 2009 - July 5, 2011

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
TAMPA, FL
Past

February 10, 2006 - December 12, 2008

E*TRADE SECURITIES LLC

BD
CRD#: 29106
TAMPA, FL
Past

October 9, 1997 - May 8, 2006

BROWNCO, LLC

BD
CRD#: 1326
BOSTON, MA
Past

May 24, 1996 - October 10, 1997

MORGAN STANLEY DEAN WITTER ONLINE INC.

BD
CRD#: 34925
SAN FRANCISCO, CA
Past

August 3, 1995 - June 17, 1996

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

January 24, 1994 - July 14, 1995

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/25/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/30/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/22/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/12/2000
Registered Options Principal Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event83
Civil Event1
Arbitration144

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

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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