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ES

Elizabeth A. Sabados

Some features on this profile are disabled
CRD#: 2588600
ES

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 Sabados, who also goes by Liz Sabados, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 1995. Elizabeth had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 17 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Liz Sabados

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 27, 2013 - September 28, 2015

UNICREDIT CAPITAL MARKETS LLC

BD
CRD#: 7789
NEW YORK, NY
Past

February 13, 2012 - June 21, 2013

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

February 7, 2011 - December 23, 2011

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

March 31, 2010 - February 4, 2011

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

April 28, 2009 - March 23, 2010

CREAND SECURITIES

BD
CRD#: 38964
GREENWICH, CT
Past

February 12, 2008 - April 15, 2009

FINANTIA USA INC.

BD
CRD#: 39120
NEW YORK, NY
Past

April 11, 2003 - June 4, 2004

MARKETAXESS CORPORATION

BD
CRD#: 44542
NEW YORK, NY
Past

September 25, 1998 - January 22, 2002

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

June 19, 1997 - September 18, 1998

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

October 4, 1995 - May 8, 1997

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
Series 63
Date: 2/27/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 17
Date: 2/11/2008
Limited Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/15/2009
General Securities Principal Examination

Current Firm

UC
UNICREDIT CAPITAL MARKETS LLC
ASSOCIATED EUROPEAN CAPITAL CORPORATION | UNICREDIT CAPITAL MARKETS, INC | UNICREDIT CAPITAL MARKETS LLC | HYPOVEREINSBANK CAPITAL MARKETS | HVB CAPITAL MARKETS, INC. | CAIB SECURITIES NEW YORK | BV CAPITAL MARKETS, INC.

CRD#: 7789 / SEC#: , 8-23081

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
15o East 42nd Street, New York, NY 10017-4679
Mailing Address
150 East 42nd Street, New York, NY 10017-4679
Phone number
(212) 672-5945
Established
New York since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UNICREDIT U.S. FINANCE LLCDIRECT OWNER
GLYNN, MICHAEL GERARDFINOP3219445
KOETHE, MARIO ARMIN MR.BOARD MEMBER7237856
MUELLER, PHILIPP JOCHENCHIEF COMPLIANCE OFFICER7549745
SAXENA, SUPRIYABOARD MEMBER7596034
STEFFENS, CHRISTIANBOARD MEMBER7898114
VALENTE, DOMINICK FRANKPRESIDENT5912165

Disclosures

Regulatory Event3

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

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

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