ES

Elaine L. Sarnoff

IAR
RR
elaine hania,elaine lena sarnoff,elena spivak
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

Elaine L. Sarnoff, who also goes by Elaine Hania, Elaine Lena Sarnoff, Elena Spivak, is a registered financial advisor at J.P. MORGAN SECURITIES LLC located in Redondo Beach, California.

Elaine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Elaine has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Disclosures
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.

Advisor Information

ADVISOR PROFILE
Other Business
ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 1/6/2018 ADDRESS: 11323 NORTH HOLLYWOOD, CA. DETAILS: Rental property HOURS DEDICATED (per month unless otherwise indicated): 5 HOURS DURING TRADING: 0 INVESTMENT RELATED: YES
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (48)
Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming
RR
Alabama (3/15/2018)
RR
Alaska (5/12/2016)
RR
Arizona (4/6/2015)
RR
Arkansas (9/9/2019)
RR
California (4/3/2015)
IAR
California (4/3/2015)
RR
Colorado (4/6/2015)
RR
Connecticut (9/21/2020)
RR
Delaware (12/10/2020)
RR
Florida (4/6/2015)
RR
Georgia (10/16/2019)
RR
Hawaii (4/25/2017)
RR
Idaho (4/25/2017)
RR
Illinois (9/20/2018)
RR
Indiana (4/25/2017)
RR
Kansas (4/6/2015)
RR
Kentucky (5/12/2016)
RR
Louisiana (1/24/2019)
RR
Maryland (9/4/2019)
RR
Massachusetts (9/21/2020)
RR
Michigan (3/15/2018)
RR
Minnesota (4/25/2017)
RR
Mississippi (5/16/2017)
RR
Missouri (4/9/2015)
RR
Nebraska (4/25/2017)
RR
Nevada (4/6/2015)
RR
New Hampshire (9/18/2019)
RR
New Jersey (5/12/2016)
RR
New Mexico (8/9/2023)
RR
New York (4/6/2015)
RR
North Carolina (4/6/2015)
RR
Ohio (8/9/2017)
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Oklahoma (9/20/2018)
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Oregon (4/6/2015)
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Pennsylvania (4/25/2017)
RR
Puerto Rico (9/20/2018)
RR
Rhode Island (2/2/2018)
RR
South Carolina (12/2/2015)
RR
South Dakota (12/10/2018)
RR
Tennessee (4/6/2015)
RR
Texas (4/3/2015)
IAR
Texas (4/3/2015)
RR
Utah (8/26/2016)
RR
Virginia (12/10/2018)
RR
Washington (4/6/2015)
RR
West Virginia (4/19/2021)
RR
Wisconsin (4/25/2017)
RR
Wyoming (9/20/2018)
SRO REGISTRATIONS (25)
RR
BOX Exchange LLC APPROVED
RR
Cboe BYX Exchange, Inc. APPROVED
RR
Cboe BZX Exchange, Inc. APPROVED
RR
Cboe C2 Exchange, Inc. APPROVED
RR
Cboe EDGA Exchange, Inc. APPROVED
RR
Cboe EDGX Exchange, Inc. APPROVED
RR
Cboe Exchange, Inc. APPROVED
RR
FINRA APPROVED
RR
Investors' Exchange LLC APPROVED
RR
Long-Term Stock Exchange, Inc. APPROVED
RR
MEMX LLC APPROVED
RR
MIAX Emerald, LLC APPROVED
RR
MIAX PEARL, LLC APPROVED
RR
Miami International Securities Exchange, LLC APPROVED
RR
NYSE American LLC APPROVED
RR
NYSE Arca, Inc. APPROVED
RR
NYSE Chicago, Inc. APPROVED
RR
NYSE National, Inc. APPROVED
RR
Nasdaq BX, Inc. APPROVED
RR
Nasdaq GEMX, LLC APPROVED
RR
Nasdaq ISE, LLC APPROVED
RR
Nasdaq MRX, LLC APPROVED
RR
Nasdaq PHLX LLC APPROVED
RR
Nasdaq Stock Market APPROVED
RR
New York Stock Exchange APPROVED

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYERS
RIA
J.P. MORGAN SECURITIES LLC (#79)
1600 S. Pacific Coast Hwy, Redondo Beach, CA, 90277
4/3/2015 - Current
BD
J.P. MORGAN SECURITIES LLC (#79)
1600 S. Pacific Coast Hwy, Redondo Beach, CA, 90277
4/3/2015 - Current
PREVIOUS EMPLOYERS (5)
RIA
WELLS FARGO CLEARING SERVICES, LLC (#19616)
8/6/2013 - 3/24/2015
Woodland Hills, CA
BD
WELLS FARGO CLEARING SERVICES, LLC (#19616)
8/6/2013 - 3/24/2015
Woodland Hills, CA
BD
TRANSAMERICA INVESTORS SECURITIES CORPORATION (#32205)
8/26/2005 - 9/25/2012
Harrison, NY
RIA
NEUBERGER BERMAN BD LLC (#2908)
2/21/2001 - 8/5/2005
Los Angeles, CA
BD
NEUBERGER BERMAN BD LLC (#2908)
1/25/2001 - 8/5/2005
New York, NY
ES
Claim Profile

Elaine L. Sarnoff

IAR
RR
Experience: 22 years / 4 firms
CRD#: 4218996


LOCATION
No current location data
The lack of due diligence on a financial advisor costs Americans billions each year. While most of our public information could help you choose the right advisor, taking a deeper dive into disclosures is going to shed a deeper light on whether or not you feel comfortable moving forward with a particular financial advisor.
Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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As featured in Usnews
As featured in USA Today
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As featured in Financial Planning
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