Elizabeth S. Johnson

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CRD#: 2439173

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 Suzanne Johnson, who also goes by Elizabeth Suzanne Johnson-mccarty, Elizabeth Suzanne Kitch, Elizabeth Johnson Mccarty, Elizabeth Suzanne Mccarty, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 1994. Elizabeth had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Elizabeth Suzanne Johnson-Mccarty | Elizabeth Suzanne Kitch | Elizabeth Johnson Mccarty | Elizabeth Suzanne Mccarty

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

June 10, 2014 - February 10, 2016

ELLIOTT COVE CAPITAL MANAGEMENT

RIA

CRD#: 123636

SEATTLE, WA

Past

January 3, 2011 - August 1, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

EVERETT, WA

Past

January 3, 2011 - August 1, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EVERETT, WA

Past

October 9, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

EVERETT, WA

Past

September 27, 2006 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

EVERETT, WA

Past

July 12, 1999 - August 22, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

EVERETT, WA

Past

July 1, 1998 - July 12, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

January 28, 1994 - July 1, 1998

SEAFIRST INVESTMENT SERVICES, INC.

CRD#: 17411

SEATTLE, WA

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".

ELLIOTT COVE CAPITAL MANAGEMENT

ELLIOTT COVE CAPITAL MANAGEMENT | ELLIOTT COVE CAPITAL, L.L.C. | ELLIOTT COVE CAPITAL MANAGEMENT LLC

CRD#: 123636 / SEC#: 801-63436

RIA

Registered Investment Advisory firm - (8/23/2004 Approved)

Washington

Registered Investment Advisory firm - (11/22/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/6/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ELLIOTT COVE CAPITAL MANAGEMENT

ELLIOTT COVE CAPITAL MANAGEMENT | ELLIOTT COVE CAPITAL, L.L.C. | ELLIOTT COVE CAPITAL MANAGEMENT LLC

CRD#: 123636 / SEC#: 801-63436

RIA

Registered Investment Advisory firm - (8/23/2004 Approved)

Washington

Registered Investment Advisory firm - (11/22/2004 Terminated)

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Contact information

Main Address

1000 Second Avenue Suite 1440, Seattle, WA 98104

Mailing Address

Po Box 27710, Seattle, WA 98165

Phone number

(206) 267-2683

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELLIOTT COVE CAPITAL MANAGEMENT LLC FORM ADV PART II BROCHURE (2/10/2025)

Regulatory assets under management

Total Number of Accounts	898
AUM (Assets Under Management)	$ 307,782,769

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.

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Firm Stability Insights

Elizabeth S. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BA INVESTMENT SERVICES, INC.

SEAFIRST INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ELLIOTT COVE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2009

Series 63

Date: 1/5/1994

Series 7

Date: 8/6/2009

Series 6

Date: 1/5/1994

Current Firm

ELLIOTT COVE CAPITAL MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLIOTT COVE CAPITAL MANAGEMENT

TRUST BUT VERIFY

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