Elizabeth Smith
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 Smith, who also goes by Elizabeth Mckenzie, Liz Mckenzie, Elizabeth Mcmahon, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1994. Elizabeth had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE 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
August 13, 2015 - December 28, 2015
CREDIT SUISSE SECURITIES (USA) LLC
August 12, 2015 - December 28, 2015
CREDIT SUISSE SECURITIES (USA) LLC
May 27, 2011 - June 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 27, 2011 - June 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 3, 2009 - January 31, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 12, 2008 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 12, 2007 - January 31, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 3, 2002 - March 20, 2003
METROPOLITAN LIFE INSURANCE COMPANY
December 3, 2002 - March 20, 2003
MSI FINANCIAL SERVICES, INC.
September 17, 2002 - October 18, 2002
ALLSTATE FINANCIAL SERVICES, LLC
June 29, 2000 - August 26, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 9, 2000 - August 26, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1997 - July 19, 2000
UBS FINANCIAL SERVICES INC.
August 16, 1994 - August 25, 1994
CHATFIELD DEAN & CO., INC.
August 16, 1994 - August 8, 1997
RAYMOND JAMES & ASSOCIATES, 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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
