Elizabeth L. Sims
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 L Sims, who also goes by Elizabeth Lynn Carpenter, Elizabeth Lynn Carpenter-sims, Elizabeth Lynn Pummill, Elizabeth Pummill, Elizabeth Lynn Sims, Elizabeth Sims, Elizabeth Lynn Widders, 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, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2012 - September 24, 2013
USAA FINANCIAL PLANNING SERVICES
June 1, 2012 - September 24, 2013
USAA FINANCIAL ADVISORS, INC.
January 7, 2010 - October 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2010 - October 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2009 - October 28, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 14, 2007 - February 17, 2009
CUNA BROKERAGE SERVICES, INC.
September 14, 2007 - February 17, 2009
CUNA BROKERAGE SERVICES, INC.
February 7, 2003 - September 6, 2007
A. G. EDWARDS & SONS, INC.
June 11, 2002 - September 6, 2007
A. G. EDWARDS & SONS, INC.
March 30, 2001 - February 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 1999 - March 13, 2001
UBS FINANCIAL SERVICES INC.
January 27, 1999 - September 3, 1999
THE O.N. EQUITY SALES COMPANY
October 23, 1995 - April 11, 1996
METROPOLITAN LIFE INSURANCE COMPANY
October 23, 1995 - April 11, 1996
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
USAA FINANCIAL PLANNING SERVICES
CRD#: 106352 / SEC#: 801-53347
Contact information
Red Flags
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