Elizabeth M. Smith
Professional summary
Elizabeth M. Smith, who also goes by Elizabeth S Emerson, Elizabeth S. Emerson, Liz Emerson, Elizabeth Marguerite Smith, Elizabeth Smith, Liz Smith, Elizabeth S. Weir, Elizabeth S. Weir, Liz Weir, is a registered financial professional currently at STONEX SECURITIES INC. located in Huntsville, Alabama.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1999. Elizabeth has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth M. Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2024 - Present
STONEX SECURITIES INC.
Office #1: 401 Holmes Ave Ne Ste A, Huntsville, AL 35801June 23, 2022 - February 27, 2024
OSAIC INSTITUTIONS, INC.
May 16, 2013 - June 2, 2021
BBVA SECURITIES INC.
June 15, 1999 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/26/2024)
Exams
FINRA
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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Company Information
STONEX SECURITIES INC.
CRD#: 18456Huntsville, AL 35801TRUST BUT VERIFY
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