Elizabeth M. Ivy
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 Michelle Ivy, who also goes by Elizabeth Michelle IVy, Michelle Ivy, Elizabeth Michelle Johnson, Elizabeth Michelle Smith, Elizabeth Michelle Webb, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1998. Elizabeth had worked at 3 firms and has passed the Series 65, Series 63 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
March 24, 2014 - March 2, 2020
HARBORVEST, LLC
August 8, 2013 - November 5, 2013
MML INVESTORS SERVICES, LLC
August 4, 1998 - July 28, 2000
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
HARBORVEST, LLC
CRD#: 169948 / SEC#:
Contact information
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.
