Faye Elliott
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.
Faye Elliott, who also goes by Faye Elliot Gurney, Faye Marie Elliott ^, Faye Marie Elliott, Faye Marie^ Elliott Gurney ^, Faye Elliott Gurney, was a registered financial professional .
Faye is a previously registered financial professional and started their career in finance in 1999. Faye had worked at 7 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2012 - February 1, 2013
BGB SECURITIES, INC.
October 27, 2011 - November 23, 2011
MONNESS CRESPI HARDT & CO., INC.
February 27, 2008 - July 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 2004 - October 11, 2005
LEHMAN BROTHERS INC.
January 24, 2002 - July 19, 2004
KEEFE, BRUYETTE & WOODS, INC.
April 3, 2000 - March 23, 2001
W.R. HAMBRECHT + CO., LLC
November 19, 1999 - February 2, 2000
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
BGB SECURITIES, INC.
CRD#: 36716 / SEC#: , 8-47398
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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