Elizabeth F. Bosco
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 Frances Bosco, who also goes by Elizabeth Bosco, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1974. Elizabeth had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 1, Series 53, Series 14, Series 27, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 1998 - April 26, 2018
TOCQUEVILLE SECURITIES L.P.
July 28, 1997 - November 25, 1997
HORNBLOWER FISCHER & CO.
March 8, 1996 - May 29, 1997
U.S. SECURITIES & FUTURES CORP.
May 4, 1995 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
May 4, 1995 - December 13, 1995
CRESSIDA CAPITAL, INC
May 12, 1988 - July 25, 1994
CRANDALL, VICKERY & CO., INC.
May 29, 1986 - December 14, 1987
GEEK SECURITIES, INC.
May 16, 1985 - May 27, 1986
PHILIPS, APPEL & WALDEN, INC.
September 11, 1984 - April 8, 1985
PAPAMARKOU WELLNER & CO., INC.
August 6, 1981 - September 10, 1984
PETRA CAPITAL CORPORATION
February 27, 1980 - June 18, 1981
MORGAN STANLEY & CO. LLC
March 7, 1979 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
September 19, 1975 - March 1, 1979
J.P. MORGAN SECURITIES LLC
December 24, 1974 - October 10, 1975
BECKER SECURITIES INCORPORATED
September 16, 1974 - November 25, 1975
A.G. BECKER & CO. INCORPORATED
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: 4/25/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 9/9/1974
Registered Representative ExaminationSeries 8
Date: 7/2/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
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.
