Elizabeth F. Bertucci
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 Frances Bertucci, who also goes by Elizabeth Frances Truxillo, 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 63, Series 6, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2009 - June 12, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
July 28, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 28, 1999 - May 31, 2000
EQUITABLE ADVISORS, LLC
May 22, 1995 - October 7, 1997
REGIONS INVESTMENT COMPANY, INC.
December 17, 1993 - May 1, 1995
MORGAN STANLEY DW 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
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
