Elizabeth M. Clarkson
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 Mary Clarkson, who also goes by Elizabeth Brenneis, Liz Brenneis, Liz Brennis, Liz Clarkson, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1995. Elizabeth had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 12, Series 4, Series 53 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 24, 2010 - November 2, 2018
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 21, 2010 - November 2, 2018
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
July 1, 2009 - October 12, 2009
WELLS FARGO SECURITIES, LLC
January 5, 2007 - July 1, 2009
WELLS FARGO SECURITIES, LLC
October 21, 2005 - November 3, 2006
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 31, 2001 - September 29, 2005
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - September 29, 2005
WELLS FARGO INVESTMENTS, LLC
January 1, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 11, 1995 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
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 12
Date: 1/8/2001
NYSE Branch Manager ExaminationCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
