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Elizabeth Davis

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CRD#: 2676504
ED

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 Davis, who also goes by Elizabeth Breeden Davis, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 1999. Elizabeth had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Breeden Davis

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

March 4, 2015 - June 4, 2017

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

March 4, 2015 - February 8, 2019

NORTHCOAST RESEARCH PARTNERS, LLC

BD
CRD#: 149109
CLEVELAND, OH
Past

January 2, 2013 - September 18, 2014

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

October 3, 2001 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

September 12, 2000 - September 19, 2001

KAUFMAN BROS., L.P.

BD
CRD#: 37909
NEW YORK, NY
Past

January 25, 2000 - May 2, 2000

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA
Past

October 1, 1999 - November 5, 1999

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 17, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

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: 7/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/1999
General Securities Representative Examination

Current Firm

AN
AMERICA NORTHCOAST SECURITIES, INC.
AMERICA NORTHCOAST SECURITIES, INC. | NORTHCOAST SECURITIES, INC. | DALEY SECURITIES, INC. | B/D HOLDINGS, INC. | ANCORA SECURITIES, INC. | ANCORA SECURITIES, INC

CRD#: 16076 / SEC#: , 8-33033

BD
Terminated by SEC on 09/30/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 10/18/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ARCH EAGLE, INC.SHAREHOLDER/PARENT COMPANY
BARONE, CHRISTOPHER RICHARDPRESIDENT, GENERAL PRINCIPAL, MUNICIPALS PRINCIPAL, CCO2032268
BARONE, RICHARD ANTHONYCHAIRMAN, SROP/CROP, CHIEF FINANCIAL OFFICER (CFO)13213

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

AMERICA NORTHCOAST SECURITIES, INC.

CRD#: 16076

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