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EP

Elizabeth M. Pate

WOLFE RESEARCH SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2778108
EP

Professional summary

Elizabeth Mary Pate, who also goes by Elizabeth Mary Pate, Elizabeth Pate, Liz Pate, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1996. Elizabeth has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Mary Pate | Elizabeth Pate | Liz Pate

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) - BD

Click below to view Elizabeth Mary Pate's CRS (Customer Relationship Summary).

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

Current

May 16, 2023 - Present

WOLFE RESEARCH SECURITIES

Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017
BD
CRD#: 151850
New York, NY
Past

September 14, 2022 - May 23, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

September 17, 2021 - September 1, 2022

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEW YORK, NY
Past

October 4, 2018 - August 31, 2021

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 25, 2017 - June 25, 2018

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
STAMFORD, CT
Past

April 13, 2016 - March 8, 2017

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

April 27, 2010 - March 24, 2016

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
STAMFORD, CT
Past

March 12, 2008 - May 14, 2010

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

December 17, 2004 - March 11, 2008

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

August 16, 2004 - November 9, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

May 28, 2004 - August 16, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

October 1, 1997 - May 28, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

September 16, 1996 - May 12, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/16/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/27/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 10/22/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 9/29/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 9/13/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WOLFE RESEARCH SECURITIES
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Phone number
(646) 845-0700
Established
New York since 08/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WOLFE HOLDCO, LLCSOLE OWNER
JORDAN, FRANCISCFO/FINOP5634167
PALLANTE, SANDRA MARIEGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2018926
RYAN, PETER WILLIAMVICE CHAIRMAN2009055
WOLFE, EDWARD MARKCEO2804319

Disclosures

Regulatory Event1

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

WOLFE RESEARCH SECURITIES

CRD#: 151850New York, NY 10017

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