Elizabeth P. Hendricks
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 Pettler Hendricks, who also goes by Elizabeth Pettler Johnson, Elizabeth Jackson Pettler, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2006. Elizabeth had worked at 4 firms and has passed the Series 66, 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
March 30, 2011 - January 4, 2019
RIVERFRONT INVESTMENT GROUP, LLC
March 25, 2011 - December 31, 2018
ALPS DISTRIBUTORS, INC.
June 11, 2009 - June 1, 2010
DAVIS WEALTH MANAGEMENT
October 4, 2007 - April 1, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 17, 2006 - April 1, 2009
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
RIVERFRONT INVESTMENT GROUP, LLC
CRD#: 146221 / SEC#: 801-68810
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
RIVERFRONT INVESTMENT GROUP, LLC
CRD#: 146221 / SEC#: 801-68810
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 977 |
| AUM (Assets Under Management) | $ 1,183,036,522 |
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.
