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EA

Elizabeth E. Anderson

ALLIANCEBERNSTEIN INVESTMENTS
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 2965468
EA

Professional summary

Elizabeth Engates Anderson, who also goes by Elizabeth Kaye Engates, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1998. Elizabeth has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth Kaye Engates

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 Engates Anderson'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

October 25, 2017 - Present

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Office #1: 501 Commerce Street, Nashville, TN 37203
BD
CRD#: 14549
Nashville, TN
Past

September 29, 2022 - December 20, 2022

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
SEATTLE, WA
Past

January 13, 2004 - October 9, 2017

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

September 4, 2003 - October 9, 2017

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

April 3, 2000 - December 2, 2002

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

March 16, 2000 - December 3, 2002

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA
CRD#: 106562
IRVINE, CA
Past

November 18, 1998 - December 21, 1999

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

January 29, 1998 - November 30, 1998

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

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
Hawaii
(9/29/2022)
RR
Washington
(10/25/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/5/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/7/1998
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: 1/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/16/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCEBERNSTEIN INVESTMENTS, INC.
ALLIANCE FUND DISTRIBUTORS | ALLIANCEBERNSTEIN INVESTMENTS, INC. | ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. | ALLIANCE FUND DISTRIBUTORS, INC.

CRD#: 14549 / SEC#: , 8-30851

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

Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
501 Commerce Street, Nashville, TN 37203
Phone number
(800) 251-0539
Established
Delaware since 11/15/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD")PARENT OF REGISTRANT
ARCHARD, NOEL CHRISTIANHEAD OF ETF AND PORTFOLIO SOLUTIONS2563745
GESSNER, MARK ANDREWCHIEF EXECUTIVE OFFICER2447287
KRUEGER, GARY MICHAELDIRECTOR, CHIEF FINANCIAL OFFICER2840211
MANLEY, MARK RANDALLDIRECTOR AND CORPORATE SECRETARY1294370
WRIGHT, DANIEL EUGENECHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event5

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

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549Nashville, TN 37203

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