Elizabeth R. Besen
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 Riva Besen, who also goes by Elizabeth R Besen, Elizabeth Besen, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1994. Elizabeth had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2008 - November 9, 2018
D.E. SHAW SECURITIES, L.L.C.
April 6, 2005 - March 27, 2008
MORGAN STANLEY & CO. LLC
July 3, 2003 - January 3, 2005
KNIGHT CAPITAL AMERICAS, L.P.
July 17, 2001 - June 25, 2003
COWEN EXECUTION SERVICES LLC
January 9, 2001 - July 19, 2001
BNP PARIBAS SECURITIES CORP.
April 27, 2000 - January 9, 2001
BNP PARIBAS BROKERAGE SERVICES, INC.
September 22, 1994 - March 31, 2000
D.E. SHAW SECURITIES, L.L.C.
April 7, 1994 - May 6, 1994
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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