Elena G. Harnish
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.
Elena Gennadyevna Harnish, CFP®, who also goes by Elena Gennadyevna Dereviagina, Elena Gennadyevna Howell, Elena Gennadyevna Smirnova, was a registered financial professional .
Elena is a previously registered financial professional and started their career in finance in 2000. Elena had worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
April 15, 2011 - April 20, 2016
EVERGREEN CAPITAL MANAGEMENT LLC
December 17, 2004 - April 29, 2011
UBS FINANCIAL SERVICES INC.
December 17, 2004 - April 29, 2011
UBS FINANCIAL SERVICES INC.
April 15, 2003 - January 7, 2005
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - December 17, 2004
OPPENHEIMER & CO. INC.
March 22, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
August 9, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 18, 2000 - August 8, 2000
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
Contact information
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,147 |
| AUM (Assets Under Management) | $ 5,217,923,207 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
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.
